0000930413-19-001973.txt : 20190701 0000930413-19-001973.hdr.sgml : 20190701 20190701153945 ACCESSION NUMBER: 0000930413-19-001973 CONFORMED SUBMISSION TYPE: DEF 14A PUBLIC DOCUMENT COUNT: 14 CONFORMED PERIOD OF REPORT: 20190826 FILED AS OF DATE: 20190701 DATE AS OF CHANGE: 20190701 EFFECTIVENESS DATE: 20190701 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT AFFILIATED FUND INC CENTRAL INDEX KEY: 0000002691 IRS NUMBER: 136020600 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-00005 FILM NUMBER: 19933060 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBOTT AFFILIATED FUND INC DATE OF NAME CHANGE: 19960315 FORMER COMPANY: FORMER CONFORMED NAME: AFFILIATED FUND INC DATE OF NAME CHANGE: 19941207 FORMER COMPANY: FORMER CONFORMED NAME: AFFILIATED INC DATE OF NAME CHANGE: 19920721 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT BOND DEBENTURE FUND INC CENTRAL INDEX KEY: 0000060365 IRS NUMBER: 132669319 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-02145 FILM NUMBER: 19933050 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT BOND FUND INC DATE OF NAME CHANGE: 19790412 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT DEVELOPING GROWTH FUND, INC. CENTRAL INDEX KEY: 0000276914 IRS NUMBER: 132958970 STATE OF INCORPORATION: MD FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-02871 FILM NUMBER: 19933051 BUSINESS ADDRESS: STREET 1: 90 HUDSON ST. CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON ST. CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT DEVELOPING GROWTH FUND INC /NEW/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DEVELOPING GROWTH SHARES INC DATE OF NAME CHANGE: 19600201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT US GOV & GOV SPONSORED ENTERPR MONEY MARKET FUND CENTRAL INDEX KEY: 0000311635 IRS NUMBER: 132986729 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-02924 FILM NUMBER: 19933059 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT U S GOVERNMENT SECURITIES MONEY MARKET FUND INC DATE OF NAME CHANGE: 19970312 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT CASH RESERVE FUND INC DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT MID CAP STOCK FUND INC CENTRAL INDEX KEY: 0000716788 IRS NUMBER: 133166900 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-03691 FILM NUMBER: 19933054 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT MID CAP VALUE FUND INC DATE OF NAME CHANGE: 19960315 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBOTT MID CAP VALUE FUND INC DATE OF NAME CHANGE: 19960315 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT VALUE APPRECIATION FUND INC DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT MUNICIPAL INCOME FUND INC CENTRAL INDEX KEY: 0000737800 IRS NUMBER: 133200760 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-03942 FILM NUMBER: 19933055 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER COMPANY: FORMER CONFORMED NAME: LORD ABBETT TAX FREE INCOME FUND INC DATE OF NAME CHANGE: 19920703 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT GLOBAL FUND INC CENTRAL INDEX KEY: 0000829901 IRS NUMBER: 133460109 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-05476 FILM NUMBER: 19933052 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT SERIES FUND INC CENTRAL INDEX KEY: 0000855396 IRS NUMBER: 133536969 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-05876 FILM NUMBER: 19933058 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT RESEARCH FUND INC CENTRAL INDEX KEY: 0000887194 IRS NUMBER: 136995863 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-06650 FILM NUMBER: 19933056 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT SECURITIES TRUST CENTRAL INDEX KEY: 0000898031 IRS NUMBER: 133712440 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-07538 FILM NUMBER: 19933057 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET STREET 2: 11TH FLOOR CITY: JERSEY CITY STATE: NJ ZIP: 07302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LORD ABBETT INVESTMENT TRUST CENTRAL INDEX KEY: 0000911507 IRS NUMBER: 133731507 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: DEF 14A SEC ACT: 1934 Act SEC FILE NUMBER: 811-07988 FILM NUMBER: 19933053 BUSINESS ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: 201-827-2000 MAIL ADDRESS: STREET 1: 90 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 0000002691 S000006806 LORD ABBETT AFFILIATED FUND INC C000018428 Class A LAFFX C000018430 Class C LAFCX C000018431 Class P LAFPX C000018432 Class I LAFYX C000054699 Class F LAAFX C000054700 Class R2 LAFQX C000054701 Class R3 LAFRX C000155435 Class R4 LAFSX C000155436 Class R5 LAFTX C000155437 Class R6 LAFVX C000184551 Class F3 LTFOX 0000060365 S000006820 LORD ABBETT BOND DEBENTURE FUND INC C000018454 Class A LBNDX C000018456 Class C BDLAX C000018457 Class P LBNPX C000018458 Class I LBNYX C000052177 Class F LBDFX C000052178 Class R2 LBNQX C000052179 Class R3 LBNRX C000158205 Class R4 LBNSX C000158206 Class R5 LBNTX C000158207 Class R6 LBNVX C000188230 Class F3 LBNOX 0000276914 S000006834 LORD ABBETT DEVELOPING GROWTH FUND INC C000018473 Class A LAGWX C000018475 Class C LADCX C000018476 Class P LADPX C000018477 Class I LADYX C000054855 Class F LADFX C000054856 Class R2 LADQX C000054857 Class R3 LADRX C000151972 Class R4 LADSX C000151973 Class R5 LADTX C000151974 Class R6 LADVX C000188220 Class F3 LOGWX 0000311635 S000006869 LORD ABBETT US GOV & GOV SPONSORED ENTERPR MONEY MARKET FUND C000018564 Class I LAYXX C000018565 Class A LACXX C000018567 Class C LCCXX 0000716788 S000001450 LORD ABBETT MID CAP STOCK FUND INC C000003858 Class A LAVLX C000003860 Class C LMCCX C000003861 Class P LMCPX C000003862 Class I LMCYX C000054846 Class F LMCFX C000054847 Class R2 LMCQX C000054848 Class R3 LMCRX C000158202 Class R4 LMCSX C000158203 Class R5 LMCTX C000158204 Class R6 LMCHX C000188260 Class F3 LOVLX 0000737800 S000007531 Lord Abbett California Tax-Free Income Fund C000020575 Class P C000020576 Class A LCFIX C000020577 Class C CALAX C000054742 Class F LCFFX C000096845 Class I CAILX C000188221 Class F3 LCFOX 0000737800 S000007537 Lord Abbett National Tax-Free Income Fund C000020588 Class P C000020589 Class A LANSX C000020591 Class C LTNSX C000050290 Class I LTNIX C000054746 Class F LANFX C000188222 Class F3 LONSX 0000737800 S000007538 Lord Abbett New Jersey Tax-Free Income Fund C000020592 Class P C000020593 Class A LANJX C000054747 Class F LNJFX C000096846 Class I LINJX C000188223 Class F3 LONJX 0000737800 S000007539 Lord Abbett New York Tax-Free Income Fund C000020594 Class P C000020595 Class A LANYX C000020596 Class C NYLAX C000054748 Class F LNYFX C000096847 Class I NYLIX C000188224 Class F3 LONYX 0000737800 S000031145 Lord Abbett High Yield Municipal Bond Fund C000096621 Class A HYMAX C000096623 Class C HYMCX C000096624 Class F HYMFX C000096625 Class I HYMIX C000096626 Class P HYMPX C000188226 Class F3 HYMOX 0000737800 S000031146 Lord Abbett Intermediate Tax Free Fund C000096627 Class F LISFX C000096628 Class I LAIIX C000096629 Class P LISPX C000096630 Class A LISAX C000096632 Class C LISCX C000188227 Class F3 LOISX 0000737800 S000031147 Lord Abbett Short Duration Tax Free Fund C000096633 Class A LSDAX C000096635 Class C LSDCX C000096636 Class F LSDFX C000096637 Class I LISDX C000188228 Class F3 LSDOX 0000737800 S000049302 Lord Abbett Short Duration High Yield Municipal Bond Fund C000155633 Class A SDHAX C000155634 Class C SDHCX C000155635 Class F SDHFX C000155636 Class I SDHIX C000188229 Class F3 HYMQX 0000829901 S000001454 Lord Abbett Emerging Markets Bond Fund C000003870 Class I LDMYX C000003871 Class A LDMAX C000003873 Class C LDMCX C000003874 Class P LDMPX C000054919 Class F LDMFX C000054920 Class R2 LDMQX C000054921 Class R3 LDMRX C000158193 Class R4 LDMSX C000158194 Class R5 LDMTX C000158195 Class R6 LDMVX C000188264 Class F3 LODMX 0000829901 S000042725 Lord Abbett Emerging Markets Corporate Debt Fund C000132114 Class A LCDAX C000132115 Class C LEDCX C000132116 Class F LCDFX C000132117 Class I LCDIX C000132118 Class R2 LCDQX C000132119 Class R3 LCDRX C000158199 Class R4 LCDSX C000158200 Class R5 LCDTX C000158201 Class R6 LCDVX C000188268 Class F3 LCDOX 0000829901 S000062561 Lord Abbett Global Bond Fund C000202977 Class A LAGGX C000202978 Class R6 LGBWX C000202980 Class C LGFCX C000202981 Class F LGBFX C000202982 Class F3 LGBOX C000202983 Class I LGBYX C000202984 Class R2 LGBQX C000202985 Class R3 LGBRX C000202986 Class R4 LGBUX C000202987 Class R5 LGBVX 0000855396 S000007297 Fundamental Equity Portfolio C000020053 Class VC 0000855396 S000007298 Calibrated Dividend Growth Portfolio C000020054 Class VC 0000855396 S000007299 Bond-Debenture Portfolio C000020055 Class VC 0000855396 S000007300 Growth and Income Portfolio C000020056 Class VC 0000855396 S000007301 Growth Opportunities Portfolio C000020057 Class VC 0000855396 S000007302 International Opportunities Portfolio C000020058 Class VC 0000855396 S000007303 Classic Stock Portfolio C000020059 Class VC 0000855396 S000007304 Mid Cap Stock Portfolio C000020060 Class VC 0000855396 S000028719 Developing Growth Portfolio C000087850 Class VC 0000855396 S000028721 Total Return Portfolio C000087852 Class VC 0000855396 S000045029 Short Duration Income Portfolio C000139705 Class VC 0000887194 S000006998 Lord Abbett Calibrated Dividend Growth Fund C000019088 Class A LAMAX C000019090 Class C LAMCX C000019091 Class P LAMPX C000019092 Class I LAMYX C000054712 Class F LAMFX C000054713 Class R2 LAMQX C000054714 Class R3 LAMRX C000156653 Class R4 LAMSX C000156654 Class R5 LAMTX C000156655 Class R6 LAMHX C000188280 Class F3 LRMAX 0000887194 S000006999 Lord Abbett Growth Opportunities Fund C000019093 Class A LMGAX C000019095 Class C LMGCX C000019096 Class P LGOPX C000019097 Class I LMGYX C000054715 Class F LGOFX C000054716 Class R2 LGOQX C000054717 Class R3 LGORX C000156656 Class R4 LGOSX C000156657 Class R5 LGOTX C000156658 Class R6 LGOVX C000188282 Class F3 LOMGX 0000887194 S000007001 Small-Cap Value Series C000019103 Class A LRSCX C000019105 Class C LSRCX C000019106 Class P LRSPX C000019107 Class I LRSYX C000054721 Class F LRSFX C000054722 Class R2 LRSQX C000054723 Class R3 LRSRX C000156659 Class R4 LRSSX C000156660 Class R5 LRSTX C000156661 Class R6 LRSVX C000188284 Class F3 LRSOX 0000898031 S000007138 Lord Abbett Fundamental Equity Fund C000019515 Class A LDFVX C000019517 Class C GILAX C000019518 Class P LAVPX C000019519 Class I LAVYX C000054922 Class F LAVFX C000054923 Class R2 LAVQX C000054924 Class R3 LAVRX C000155667 Class R4 LAVSX C000155668 Class R5 LAVTX C000155669 Class R6 LAVVX C000184529 Class F3 LDFOX 0000898031 S000007139 Lord Abbett Alpha Strategy Fund C000019520 Class P C000019521 Class I ALFYX C000019522 Class A ALFAX C000019524 Class C ALFCX C000054925 Class F ALFFX C000054926 Class R2 ALFQX C000054927 Class R3 ALFRX C000155670 Class R4 ALFKX C000155671 Class R5 ALFTX C000155672 Class R6 ALFVX C000184531 Class F3 ALFOX 0000898031 S000007140 Lord Abbett International Equity Fund C000019525 Class A LICAX C000019527 Class C LICCX C000019528 Class P LICPX C000019529 Class I LICYX C000054928 Class F LICFX C000054929 Class R2 LICQX C000054930 Class R3 LICRX C000155673 Class R4 LICSX C000155674 Class R5 LICTX C000155675 Class R6 LICVX C000184533 Class F3 LICOX 0000898031 S000007142 Lord Abbett Micro-Cap Growth Fund C000019535 Class A C000019536 Class I LMIYX 0000898031 S000007143 Lord Abbett Focused Small Cap Value Fund C000019537 Class A LFVAX C000019538 Class I LMVYX 0000898031 S000007144 Lord Abbett Value Opportunities Fund C000019539 Class A LVOAX C000019541 Class C LVOCX C000019542 Class P LVOPX C000019543 Class I LVOYX C000054934 Class F LVOFX C000054935 Class R2 LVOQX C000054936 Class R3 LVORX C000155676 Class R4 LVOSX C000155677 Class R5 LVOTX C000155678 Class R6 LVOVX C000184535 Class F3 LVOOX 0000898031 S000007183 Lord Abbett International Opportunities Fund C000019658 Class A LAIEX C000019660 Class C LINCX C000019661 Class P LINPX C000019662 Class I LINYX C000054937 Class F LINFX C000054938 Class R2 LINQX C000054939 Class R3 LINRX C000155679 Class R4 LINSX C000155680 Class R5 LINTX C000155681 Class R6 LINVX C000184538 Class F3 LOIEX 0000898031 S000022492 Lord Abbett International Value Fund C000065058 Class A LIDAX C000065060 Class C LIDCX C000065061 Class F LIDFX C000065062 Class I LAIDX C000065063 Class R2 LIDRX C000065064 Class R3 LIRRX C000155682 Class R4 LIRSX C000155683 Class R5 LIRTX C000155684 Class R6 LIRVX C000184539 Class F3 LIDOX 0000898031 S000032915 Lord Abbett Growth Leaders Fund C000101588 Class A LGLAX C000101589 Class C LGLCX C000101590 Class F LGLFX C000101591 Class I LGLIX C000101592 Class R2 LGLQX C000101593 Class R3 LGLRX C000155685 Class R4 LGLSX C000155686 Class R5 LGLUX C000155687 Class R6 LGLVX C000184541 Class F3 LGLOX 0000898031 S000055621 Lord Abbett Global Equity Research Fund C000175097 Class A LGCAX C000175098 Class C LGCCX C000175099 Class F LGCFX C000175100 Class I LGCYX C000175101 Class R2 LGCQX C000175102 Class R3 LGCRX C000175103 Class R4 LGCSX C000175104 Class R5 LGCVX C000175105 Class R6 LGCWX C000184543 Class F3 LGCOX 0000898031 S000062565 Lord Abbett Global Select Equity Fund C000202993 Class A LGSAX C000202994 Class R6 LGSWX C000202996 Class C LGECX C000202997 Class F LGSFX C000202998 Class F3 LGSOX C000202999 Class I LGSIX C000203000 Class R2 LGSQX C000203001 Class R3 LGSRX C000203002 Class R4 LGSUX C000203003 Class R5 LGSVX 0000898031 S000064461 Lord Abbett Focused Growth Fund C000208648 Class C LFGCX C000208649 Class F LFGFX C000208650 Class F3 LFGOX C000208651 Class I LFGIX C000208652 Class A LFGAX C000208653 Class R3 LFGQX C000208654 Class R4 LFGSX C000208655 Class R5 LFGTX C000208656 Class R6 LFGVX C000208657 Class R2 LFGRX 0000911507 S000007276 Lord Abbett Convertible Fund C000019975 Class A LACFX C000019977 Class C LACCX C000019978 Class P LCFPX C000019979 Class I LCFYX C000054882 Class F LBFFX C000054883 Class R2 LBCQX C000054884 Class R3 LCFRX C000156617 Class R4 LCFSX C000156618 Class R5 LCFTX C000156619 Class R6 LCFVX C000188232 Class F3 LOCFX 0000911507 S000007277 Lord Abbett Core Fixed Income Fund C000019980 Class A LCRAX C000019982 Class C LCRCX C000019983 Class P LCRPX C000019984 Class I LCRYX C000054885 Class F LCRFX C000054886 Class R2 LCRQX C000054887 Class R3 LCRRX C000156620 Class R4 LCRSX C000156621 Class R5 LCRTX C000156622 Class R6 LCRVX C000188234 Class F3 LCROX 0000911507 S000007278 Lord Abbett High Yield Fund C000019985 Class A LHYAX C000019987 Class C LHYCX C000019988 Class P LHYPX C000019989 Class I LAHYX C000054888 Class F LHYFX C000054889 Class R2 LHYQX C000054890 Class R3 LHYRX C000156623 Class R4 LHYSX C000156624 Class R5 LHYTX C000156625 Class R6 LHYVX C000188236 Class F3 LHYOX 0000911507 S000007279 Lord Abbett Short Duration Income Fund C000019990 Class P C000019991 Class I LLDYX C000019992 Class A LALDX C000019994 Class C LDLAX C000054891 Class F LDLFX C000054892 Class R2 LDLQX C000054893 Class R3 LDLRX C000156626 Class R4 LDLKX C000156627 Class R5 LDLTX C000156628 Class R6 LDLVX C000188238 Class F3 LOLDX 0000911507 S000007280 Lord Abbett Total Return Fund C000019995 Class A LTRAX C000019997 Class C LTRCX C000019998 Class P LTRPX C000019999 Class I LTRYX C000054894 Class F LTRFX C000054895 Class R2 LTRQX C000054896 Class R3 LTRRX C000156629 Class R4 LTRKX C000156630 Class R5 LTRTX C000156631 Class R6 LTRHX C000188241 Class F3 LTROX 0000911507 S000007281 Lord Abbett Income Fund C000020000 Class P C000020001 Class I LAUYX C000020002 Class A LAGVX C000020004 Class C LAUSX C000054897 Class F LAUFX C000054898 Class R2 LAUQX C000054899 Class R3 LAURX C000156632 Class R4 LAUKX C000156633 Class R5 LAUTX C000156634 Class R6 LAUVX C000188242 Class F3 LOGVX 0000911507 S000007282 Lord Abbett Multi-Asset Balanced Opportunity Fund C000020005 Class I LABYX C000020006 Class A LABFX C000020008 Class C BFLAX C000020009 Class P LABPX C000054900 Class F BLAFX C000054901 Class R2 BLAQX C000054902 Class R3 BLARX C000156635 Class R4 BLASX C000156636 Class R5 BLATX C000156637 Class R6 BLAVX C000188244 Class F3 LOBFX 0000911507 S000007283 Lord Abbett Multi-Asset Income Fund C000020010 Class A ISFAX C000020012 Class C ISFCX C000020013 Class P ISFPX C000020014 Class I ISFYX C000054903 Class F LIGFX C000054904 Class R2 LIGQX C000054905 Class R3 LIXRX C000156638 Class R4 LIXSX C000156639 Class R5 LIXTX C000156640 Class R6 LIXVX C000188246 Class F3 ISFOX 0000911507 S000019792 Lord Abbett Floating Rate Fund C000055470 Class A LFRAX C000055472 Class C LARCX C000055473 Class F LFRFX C000055474 Class I LFRIX C000055475 Class R2 LFRRX C000055476 Class R3 LRRRX C000156647 Class R4 LRRKX C000156648 Class R5 LRRTX C000156649 Class R6 LRRVX C000188252 Class F3 LFROX 0000911507 S000031962 Lord Abbett Inflation Focused Fund C000099493 Class A LIFAX C000099494 Class C LIFCX C000099495 Class F LIFFX C000099496 Class I LIFIX C000099497 Class R2 LIFQX C000099498 Class R3 LIFRX C000156650 Class R4 LIFKX C000156651 Class R5 LIFTX C000156652 Class R6 LIFVX C000188254 Class F3 LIFOX 0000911507 S000051773 Lord Abbett Core Plus Bond Fund C000162898 Class A LAPLX C000162899 Class C LAPCX C000162900 Class F LPLFX C000162901 Class I LAPIX C000162902 Class R2 LAPTX C000162903 Class R3 LAPQX C000162904 Class R4 LAPUX C000162905 Class R5 LAPVX C000162906 Class R6 LAPWX C000188256 Class F3 LOPLX 0000911507 S000055282 Lord Abbett Ultra Short Bond Fund C000173880 Class A LUBAX C000173881 Class F LUBFX C000173882 Class I LUBYX C000173883 Class R5 LUBVX C000173884 Class R6 LUBWX C000188258 Class F3 LUBOX 0000911507 S000056808 Lord Abbett Corporate Bond Fund C000180450 Class A LBCAX C000180451 Class R6 LBCVX C000180453 Class C LBCCX C000180454 Class F LCCFX C000180455 Class F3 LBCOX C000180456 Class I LICIX C000180457 Class R2 LCBQX C000180458 Class R3 LRCBX C000180459 Class R4 LBCSX C000180460 Class R5 LBCUX 0000911507 S000056809 Lord Abbett Short Duration Core Bond Fund C000180461 Class A LDCAX C000180462 Class C LDCCX C000180463 Class F LDCFX C000180464 Class F3 LSCOX C000180465 Class I LSCIX C000180466 Class R2 LSCQX C000180467 Class R3 LDCRX C000180468 Class R4 LSCSX C000180469 Class R5 LSCUX C000180470 Class R6 LDCVX DEF 14A 1 c93731_def14a.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 14A INFORMATION

 

Proxy Statement Pursuant to Section 14(a) of the Securities

Exchange Act of 1934

(Amendment No.         )

 

  Filed by the registrant  [X]
   
  Filed by a Party other than the registrant  [   ]
   
  Check the appropriate box:
   
[   ] Preliminary proxy statement
   
[X] Definitive proxy statement
   
[   ] Definitive additional materials
   
[   ] Soliciting material under Rule 14a-12  
   
[   ] Confidential, for use of the Commission only (as permitted by Rule 14a 6(e)(2))

 

(Name of Registrants as Specified in Its Charter)

 

 

 

Lord Abbett Affiliated Fund, Inc.

Lord Abbett Bond-Debenture Fund, Inc.

Lord Abbett Developing Growth Fund, Inc.

Lord Abbett Global Fund, Inc.

Lord Abbett Investment Trust

Lord Abbett Mid Cap Stock Fund, Inc.

Lord Abbett Municipal Income Fund, Inc.

Lord Abbett Research Fund, Inc.

Lord Abbett Securities Trust

Lord Abbett Series Fund, Inc.

Lord Abbett U.S. Government & Government Sponsored

Enterprises Money Market Fund, Inc.

 

(Name of Person(s) Filing Proxy Statement, if other than the Registrant)

 

 

 

Payment of filing fee (check the appropriate box):

 

[X] No fee required
   
[   ] Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11

 

  1) Title of each class of securities to which transaction applies:
     
  2) Aggregate number of securities to which transaction applies:
     
 
  3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):
     
  4) Proposed maximum aggregate value of transaction:
     
  5) Total fee paid:
     

 

[   ] Fee paid previously with preliminary materials

 

[   ] Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the form or schedule and the date of its filing

 

  1) Amount Previously Paid:
     
  2) Form, Schedule or Registration Statement No.:
     
  3) Filing Party:
     
  4) Date Filed:
     
 

The Lord Abbett Family of Funds

90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388

Dear Fellow Shareholder,

You are cordially invited to participate in a joint special meeting of shareholders of the Lord Abbett Family of Funds. The meeting will take place on August 26, 2019 at 9:00 am at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973. The purpose of the meeting is to vote on a proposal to elect ten nominees named in the attached joint proxy statement to the Funds’ Boards of Directors/Trustees (each, a “Board”). Nine nominees are current members of each Fund’s Board and one nominee would, if elected, be a new member of each Fund’s Board.

The attached materials provide more information about the proposal, including each nominee’s background and qualifications. Each Board recommends that you vote “FOR” each of the nominees. We urge you to read the full text of the attached joint proxy statement before voting.

The proxy materials are being provided beginning on or about July 8, 2019 to shareholders who owned shares of the Lord Abbett Family of Funds as of June 24, 2019.

Your vote is important. Even if you plan to attend the meeting, please vote promptly via the Internet, by telephone, or by mail (or, if you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, follow the instructions on the voting instruction card). See “Special Note to Variable Annuity Contract Owners” below. Your prompt vote will help save the Funds the costs of further proxy solicitation. If you have any questions or need assistance voting, please contact your financial intermediary or call the Funds at 888-522-2388.

Thank you for investing in the Lord Abbett Family of Funds. It is a privilege to manage your investment.

 

 

 

 

  

Sincerely,

 

  

 

  

Douglas B. Sieg
President, Chief Executive Officer,
and Director/Trustee

 

The Lord Abbett Family of Funds

90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388

 

QUESTIONS AND ANSWERS

 

Your vote is important.

Although we urge you to read the full text of the attached joint proxy statement, for your convenience we have provided a brief overview of the proposal on which you are being asked to vote.


Why am I receiving the joint proxy statement?

The Funds are holding a joint special meeting of shareholders on August 26, 2019 to elect members of the Funds’ Boards of Directors/Trustees. This joint proxy statement describes a proposal to elect ten nominees, nine of whom are current members of each Fund’s Board, to the Board of the Fund(s) in which you own shares and provides you with other information relating to the meeting (each a “Board nominee” and, collectively, the “Board nominees”). Shares of one or more series of Lord Abbett Series Fund may have been purchased at your discretion by your insurance company to serve as investment options under your variable annuity contract. You are eligible to vote on the proposal (or to provide voting instructions to a financial intermediary, such as an insurance company, holding Fund shares in its name for your benefit) if you owned shares of one or more of the Funds as of June 24, 2019. Your proxy card indicates the Fund(s) in which you own shares.

How do the Boards of the Funds recommend that I vote?

The Boards have reviewed the qualifications and backgrounds of the Board nominees named in the joint proxy statement and believe the Board nominees possess the requisite experience in overseeing investment companies and familiarity with the Funds and their investment adviser, Lord, Abbett & Co. LLC. Therefore, the Boards believe the election of each Board nominee is in your best interest and unanimously recommend that you vote “FOR” each Board nominee.

How can I vote?

You can vote in any of four ways:
 

•

  

Via the Internet. Access the Internet address provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card.

 
 

•

  

By telephone. Call the toll-free number provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card.

 

•

  

By mail. Complete, sign, and date your proxy card and mail it to the address shown on the card.

 

•

  

In person at the meeting. You may attend the special meeting of shareholders and vote in person; however, even if you intend to do so, we encourage you to vote early using one of the methods discussed above. Please see the proxy statement for instructions on how to vote at the meeting if you hold shares through a financial intermediary in its name for your benefit.

Whichever method you choose, we urge you to read the full text of the attached joint proxy statement before voting.

Variable Annuity Contract owners should follow the instructions provided by their insurance company. See “Special Note to Variable Annuity Contract Owners” below.

Will my vote make a difference?

Yes! Your vote is important no matter how many shares you own. You are entitled to one vote for each full share and a proportionate fractional vote for each fractional share you own of a Fund on the record date June 24, 2019. Voting is an important way to participate in the governance and management of your Fund. Additionally, your prompt vote will help save the Funds the costs of further proxy solicitation.

Who will pay the costs associated with the proxy solicitation?

The Funds will bear all costs associated with the proxy solicitation, including printing, distribution, and proxy solicitation costs, and related legal and accounting fees. Costs borne by the Funds will be allocated among the Funds ratably based on their respective numbers of shareholder accounts, except when costs reasonably can be attributed to one or more specific Funds.

The Funds have retained Computershare, a proxy services firm, to assist in the distribution of proxy materials and the solicitation and tabulation of proxies. It is anticipated that the Funds will pay Computershare approximately $4,000,000 for such services (including reimbursement of out-of-pocket expenses).

Whom should I call if I have questions?

If you need more information, or have any questions about voting, please call the Funds at 888-522-2388.

 

Please vote now.

To avoid the unnecessary costs of further proxy solicitation, please vote promptly via the Internet, by telephone, or by mail (or, if you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, follow the instructions on the voting instruction card), no matter how large or small your Fund holdings may be.


Special Note to Variable Annuity Contract Owners

If you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, you are receiving this material because your insurance company is asking you to provide it with instructions as to how to vote the shares attributable to your contract at the meeting or any adjourned session. Please complete the instruction card and return it to your insurance company as directed on the card or in the accompanying materials you received from the insurance company. Please do not return the instruction card to the Lord Abbett Family of Funds.


 

The Lord Abbett Family of Funds

90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388

 

NOTICE OF JOINT SPECIAL MEETING OF SHAREHOLDERS
To Be Held August 26, 2019

 

A joint special meeting of shareholders of the Lord Abbett Family of Funds identified below (each, a “Fund” and collectively, the “Funds”) will be held at the offices of Lord, Abbett & Co. LLC, 90 Hudson Street, Jersey City, New Jersey 07302-3973, on August 26, 2019 at 9:00 am (Eastern time), to consider and vote on the following proposal, as described more fully in the accompanying joint proxy statement:

PROPOSAL: To elect Eric C. Fast, Evelyn E. Guernsey, Julie A. Hill, Kathleen M. Lutito, James M. McTaggart, Charles O. Prince, Karla M. Rabusch, Mark A. Schmid, Douglas B. Sieg, and James L.L. Tullis to serve on each Fund’s Board of Directors/Trustees.

In addition, Fund shareholders will be asked to transact such other business as may properly come before the meeting or any adjournments, postponements, or delays of the meeting.

Shareholders of record of each Fund as of the close of business on June 24, 2019 are entitled to notice of and to vote at the meeting and any adjournments, postponements, or delays of the meeting. Shareholders are entitled to one vote for each full share owned and a proportionate vote for each fractional share owned.

Your vote is important, no matter how many shares you own. Your prompt vote will help save the Funds the costs of further proxy solicitation. Please vote via the Internet, by telephone, by mail, by attending the meeting in person, or, if you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, follow the instructions on the voting instruction card, as described more fully in the accompanying joint proxy statement. Whichever method you choose, we urge you to read the full text of the attached joint proxy statement before voting.

 

 

 

 

  

By Order of the Boards,

 

  

 

  

Lawrence B. Stoller

July 8, 2019

  

Vice President and Secretary

Important Notice Regarding the Availability of Proxy Materials for the
Joint Special Meeting of Shareholders to Be Held August 26, 2019

The Joint Proxy Statement is available at www.proxy-direct.com/lab-30261.

 

The Lord Abbett Family of Funds (including each Fund’s series, as applicable)

 

 

 

 

Lord Abbett Affiliated Fund
 
Lord Abbett Bond Debenture Fund
 
Lord Abbett Developing Growth Fund
 
Lord Abbett Global Fund
 Lord Abbett Emerging Markets Bond Fund
 (formerly known as “Lord Abbett Emerging
 Markets Currency Fund”)
 Lord Abbett Emerging Markets Corporate
 Debt Fund
 Lord Abbett Global Bond Fund
 
Lord Abbett Investment Trust
 Lord Abbett Convertible Fund
 Lord Abbett Core Fixed Income Fund
 Lord Abbett Core Plus Bond Fund
 Lord Abbett Corporate Bond Fund
 Lord Abbett Floating Rate Fund
 Lord Abbett High Yield Fund
 Lord Abbett Income Fund
 Lord Abbett Inflation Focused Fund
 Lord Abbett Multi-Asset Balanced
 Opportunity Fund
 Lord Abbett Multi-Asset Income Fund
 Lord Abbett Short Duration Core Bond Fund
 Lord Abbett Short Duration Income Fund
 Lord Abbett Total Return Fund
 Lord Abbett Ultra Short Bond Fund
 
Lord Abbett Mid Cap Stock Fund
 
Lord Abbett Municipal Income Fund
 Lord Abbett California Tax Free Income Fund
 Lord Abbett High Yield Municipal Bond Fund
 Lord Abbett Intermediate Tax Free Fund
 Lord Abbett National Tax Free Income Fund
 Lord Abbett New Jersey Tax Free Income Fund
 Lord Abbett New York Tax Free Income Fund
 Lord Abbett Short Duration High Yield
 Municipal Bond Fund
 Lord Abbett Short Duration Tax Free Fund

  

Lord Abbett Research Fund
 Lord Abbett Calibrated Dividend Growth Fund
 Lord Abbett Growth Opportunities Fund
 Lord Abbett Small Cap Value Fund
 
Lord Abbett Securities Trust
 Lord Abbett Alpha Strategy Fund
 Lord Abbett Focused Growth Fund
 Lord Abbett Focused Small Cap Value Fund
 (formerly known as “Lord Abbett Micro Cap
 Value Fund”)
 Lord Abbett Fundamental Equity Fund
 Lord Abbett Global Equity Research Fund
 (formerly known as “Lord Abbett Global
 Core Equity Fund”)
 Lord Abbett Global Select Equity Fund
 Lord Abbett Growth Leaders Fund
 Lord Abbett International Equity Fund
 Lord Abbett International Value Fund
 (formerly known as “Lord Abbett
 International Dividend Income Fund”)
 Lord Abbett International Opportunities Fund
 Lord Abbett Micro Cap Growth Fund
 Lord Abbett Value Opportunities Fund
 
Lord Abbett Series Fund
 Bond Debenture Portfolio
 Calibrated Dividend Growth Portfolio
 Classic Stock Portfolio
 Developing Growth Portfolio
 Fundamental Equity Portfolio
 Growth and Income Portfolio
 Growth Opportunities Portfolio
 International Opportunities Portfolio
 Mid Cap Stock Portfolio
 Short Duration Income Portfolio
 Total Return Portfolio
 
Lord Abbett U.S. Government & Government
Sponsored Enterprises Money Market Fund

 

TABLE OF CONTENTS

 

 

 

PROPOSAL: ELECTION OF BOARD NOMINEES

 

 

  

2

  

Background Information

 

 

  

2

  

Board Nominees

 

 

  

2

  

Qualifications of Board Nominees

 

 

  

3

  

Board Leadership Structure and Oversight

 

 

  

4

  

Board Compensation

 

 

  

7

  

Equity Securities Owned by Board Nominees and Executive Officers

 

 

  

7

  

Investment Adviser, Administrator, and Principal Underwriter

 

 

  

7

  

VOTING INFORMATION

 

 

  

7

  

Ownership of Fund Shares

 

 

  

7

  

Solicitation Method

 

 

  

7

  

Solicitation Costs

 

 

  

8

  

Quorum

 

 

  

8

  

Required Vote

 

 

  

8

  

Abstentions and Broker Non-Votes

 

 

  

9

  

Recording and Tabulation of Votes

 

 

  

9

  

Revocation

 

 

  

9

  

Attendance at the Meeting

 

 

  

9

  

Adjournment of the Meeting

 

 

  

10

  

INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

 

 

  

10

  

ADDITIONAL INFORMATION

 

 

  

11

  

Submission of Shareholder Proposals

 

 

  

11

  

Shareholder Communications

 

 

  

11

  

Other Business Items

 

 

  

12

  

Appendix A: Fund Names

 

 

  

A-1

  

Appendix B: Board Nominees’ Biographical Information

 

 

  

B-1

  

Appendix C: Board Nominees’ Term and Tenure

 

 

  

C-1

  

Appendix D: Board Nominees’ Experience, Qualifications, and Skills

 

 

  

D-1

  

Appendix E: Standing Committees of the Board

 

 

  

E-1

  

Appendix F: Board and Committee Meetings

 

 

  

F-1

  

Appendix G: Executive Officers’ Biographical Information

 

 

  

G-1

  

Appendix H: Board Compensation

 

 

  

H-1

  

Appendix I: Board Nominees’ Ownership of Fund Shares

 

 

  

I-1

  

Appendix J: Board Nominees’ and Executive Officers’ Aggregate Ownership of Fund Shares

 

 

  

J-1

  

Appendix K: Shares Outstanding on the Record Date

 

 

  

K-1

  

Appendix L: Principal Shareholders

 

 

  

L-1

  

Appendix M: Fees Paid to the Funds’ Independent Registered Public Accounting Firm and Audit Committee Charter

 

 

  

M-1

  

Appendix N: Nominating and Governance Committee Charter

 

 

  

N-1

  

 

The Lord Abbett Family of Funds

90 Hudson Street
Jersey City, New Jersey 07302-3973
888-522-2388

 

JOINT PROXY STATEMENT

 

This joint proxy statement (the “Proxy Statement”) is furnished in connection with the solicitation of proxies by the Boards of Directors/Trustees (collectively, the “Board,” the members of which are referred to as “Board members”) of each Lord Abbett Fund listed in Appendix A of this Proxy Statement (each, a “Fund” and collectively, the “Funds”). The proxies will be voted at a joint special meeting of shareholders of the Funds to be held at the offices of Lord, Abbett & Co. LLC, the Funds’ investment adviser (“Lord Abbett”), 90 Hudson Street, Jersey City, New Jersey 07302-3973, on August 26, 2019, at 9:00 am (Eastern Time), and at any and all adjournments, postponements, or delays of the meeting (the “Meeting”). The Meeting will be held for the purposes set forth in the accompanying Notice of Joint Special Meeting of Shareholders to Be Held August 26, 2019. This Proxy Statement is first being made available to shareholders on or about July 8, 2019.

You are entitled to notice of, and to vote at, the Meeting (or to provide voting instructions to a financial intermediary holding Fund shares in its name for your benefit) only if you owned shares of a Fund as of the close of business on June 24, 2019 (the “Record Date”). Shareholders of the Funds are entitled to one vote for each full share and a proportionate fractional vote for each fractional share held as of the Record Date. Each properly executed proxy received before the Meeting, unless revoked, will be voted at the Meeting in accordance with the shareholder’s instructions. If a proxy card is properly executed and returned, but the shareholder did not provide any instruction on how to vote for each Board nominee, the shares represented by the card will be voted “FOR” each Board nominee.

To revoke a proxy, you must submit a written notice of revocation or a later dated proxy to the applicable Fund, or attend the Meeting and vote in person by ballot, in all cases before the proxy is exercised at the Meeting. If you hold Fund shares through a financial intermediary, please consult your financial intermediary regarding your ability to revoke voting instructions. For more information, please see the section of the Proxy Statement titled “Voting Information.”

Each Fund will furnish, without charge, a copy of its annual report and most recent semi-annual report succeeding the annual report, if any, to a shareholder upon request. Such requests should be directed to the applicable Fund at 90 Hudson Street, Jersey City, New Jersey 07302-3973, or by calling toll free at 888-522-2388. Copies of each Fund’s annual and semi-annual reports also are available on Lord Abbett’s website at www.lordabbett.com and at the U.S. Securities and Exchange Commission’s (“SEC”) website at www.sec.gov.

Please vote now. Your vote is important.

1

 

PROPOSAL: ELECTION OF BOARD NOMINEES

Background Information

Each Fund is an open-end investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”), whose management and operations are overseen by the Board. The Board ordinarily can appoint new Board members without a shareholder vote, provided that upon such appointment at least two-thirds of the Board members have been elected by shareholders. Currently, five of the nine Board members have been elected by shareholders, which means the Board cannot appoint any new Board members without a shareholder vote. Electing each nominee to the Board therefore would give the Board flexibility to add new Board members or to fill any future vacancies created by the departure of one or more shareholder-elected Board members, if necessary. Accordingly, the Board has determined it is advisable for each Board member to stand for election. After a thorough search, the Nominating and Governance Committee of the Board has also nominated Charles O. Prince to serve as a new member of the Board. This recommendation is based in part on his many years of experience in the financial services and banking industry.

Board Nominees

The Board, on the recommendation of its Nominating and Governance Committee, recommends a vote “FOR” the election of Eric C. Fast, Evelyn E. Guernsey, Julie A. Hill, Kathleen M. Lutito, James M. McTaggart, Karla M. Rabusch, Mark A. Schmid, Douglas B. Sieg, and James L.L. Tullis, each of whom is a current member of the Board, and Charles O. Prince, who will, if elected, be a new member of the Board (each a “Board nominee” and collectively, the “Board nominees”). Please refer to the table in Appendix B, which provides certain biographical information about the Board nominees. Each of the Board nominees has consented to being named in this Proxy Statement and to serve as a Board member if elected.

The Board of each Fund currently consists of nine Board members, eight of whom are not “interested persons” (as defined in the 1940 Act) of the Funds (the “independent Board members”). If the Board nominees are elected, the Board of the Fund will consist of ten Board members, nine of whom will not be “interested persons” of the Funds. Each Board nominee other than Mr. Sieg is or will be an independent Board member. Mr. Sieg is an interested person of the Funds under the 1940 Act because he is Managing Partner of Lord Abbett, the Funds’ investment adviser. Shareholders of each Fund will consider electing all ten nominees at the Meeting. Each Board nominee elected at the Meeting will serve until his or her successor is duly elected and qualifies, or until his or her earlier death, resignation, retirement, or removal.

Although every Fund’s Board consists of the same members (and the same nominees are proposed for election to the Board of every Fund), each Fund has a separate Board. Shareholders of each Fund, therefore, will vote separately on the

2

 

election of members of their Fund’s Board (although all shareholders of all series within a Fund vote together as to that Fund’s Board). The election results as to any one Fund’s Board will not affect the results as to any other Fund’s Board.

To vote for the Board nominees, please vote by telephone or via the Internet, or sign, date, and return the enclosed proxy card (or, if you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, follow the instructions on the voting instruction card).

Qualifications of Board Nominees

The Nominating and Governance Committee operates pursuant to a written charter and is responsible for making nominations of candidates for appointment or election as independent Board members. Accordingly, the Nominating and Governance Committee nominated each independent Board member and Mr. Prince at the May 23, 2019 Nominating and Governance Committee meeting for election at the Meeting. The Board nominated each independent Board member, Mr. Prince, and Mr. Sieg at the May 23, 2019 Board of Directors meeting for election at the Meeting. The Nominating and Governance Committee and the Board evaluated each Board nominee both individually and in the broader context of the Board’s overall effectiveness, and made each nomination based on a variety of criteria, none of which in isolation was controlling. The factors summarized below led the Nominating and Governance Committee and the Board to conclude that each Board nominee should be elected to the Board.
 

•

  

Each Board nominee currently serving on the Board has executed his or her duties as a Board member with diligence and each Board nominee has a reputation for integrity, honesty, and high ethical standards.

 

•

  

Each Board nominee currently serving on the Board has dedicated considerable time and has made substantial contributions during his or her service on the Board. Each Board nominee’s length of service on the Board is noted in Appendix C.

 

•

  

Each Board nominee possesses the experience, qualifications, skills, and attributes deemed necessary or desirable for Board members, including business acumen, experience relevant to the financial services industry generally and the investment industry particularly, and the ability to exercise sound business judgment in matters relating to the current and long-term objectives of the Funds.

 

•

  

Each Board nominee has an understanding and appreciation of the important role occupied by a Board member, including the role of an independent Board member in the regulatory structure governing registered investment companies.

 

•

  

Each Board nominee has a desire and availability to serve as a Board member.

3

 
 

•

  

In the case of each independent Board nominee, there is an absence of conflicts that would interfere with qualifying as an independent Board member.

 

•

  

The Board nominees collectively have a balanced and diverse set of experiences, skills, attributes, and qualifications, enabling the Board to operate effectively in governing the Funds and protecting shareholders’ interests. The individual qualifications of each Board nominee are described in Appendix D.

 

•

  

Each Board nominee possesses the skills necessary to critically evaluate information presented to him or her and to interact collaboratively and effectively with Lord Abbett, other service providers, and other Board members.

 

•

  

Each Board nominee has significant experience and knowledge relevant to registered investment companies gained from educational and professional training, and, in the case of nominees currently serving on the Board, from overseeing the Funds. This experience and knowledge encompasses the Funds’ day-to-day operations, investments representing a wide array of asset classes, contractual arrangements, and numerous regulatory and compliance matters.

 

•

  

Each Fund achieves operational efficiencies by having the same Board oversee it and each of the other Funds.

In addition to individual qualifications, the qualifications described above are among those that the Nominating and Governance Committee may consider for any future independent Board nominees. The Nominating and Governance Committee periodically reviews the composition of the Board to determine whether it may be appropriate to add individuals with different backgrounds or skill sets from those already on the Board. It is the Nominating and Governance Committee’s policy to consider Board member candidates recommended by shareholders using the same criteria the Committee uses to evaluate other candidates. However, any nominees recommended by shareholders must demonstrate an ability to represent all shareholders and not just a limited set of shareholders. A shareholder may submit a nomination to the Board by following the procedures detailed under “Shareholder Communications” below.

For a copy of the Nominating and Governance Committee Charter, please refer to Appendix N.

Board Leadership Structure and Oversight

The Board currently consists of nine Board members, eight of whom are independent Board members. If the Board nominees are elected, the Board of the Funds will consist of ten Board members, nine of whom will not be “interested persons” of the Funds. James L.L. Tullis, an independent Board member, serves as the Chairman of the Board. The role of the Chairman of the Board is to preside

4

 

over Board meetings and to interface with Lord Abbett, other service providers, and other Board members between meetings. The Board has determined that its leadership structure is appropriate in light of the composition of the Board and its committees and Mr. Tullis’ long tenure with the Board. The Board believes its leadership structure enhances the effectiveness of the Board’s oversight role.

As discussed more fully below, the Board has delegated certain aspects of its oversight function to standing committees comprised solely of independent Board members (the “Committees,” the members of which are referred to as “Committee members”). Each Committee is chaired by an independent Board member who is responsible for presiding over meetings and interfacing with Lord Abbett, other service providers, and other Board members between meetings. Committee chairs also perform such other functions as the Board or the Committee may delegate to them from time to time. Each Fund’s Board has four Committees: an Audit Committee; a Contract Committee; a Nominating and Governance Committee; and a Proxy Committee. The Funds do not have a compensation committee because their executive officers do not receive any direct compensation from the Funds; the Nominating and Governance Committee periodically reviews independent Board member compensation. The Board comprehensively reviews the Chief Compliance Officer’s (“CCO”) compensation, which is paid by Lord Abbett. The committee structure facilitates the Board’s timely and efficient consideration of matters pertinent to the Funds’ business and affairs and their associated risks. The Board and each Committee conduct annual assessments of their oversight function and structure. Information regarding the composition and function of the Committees is provided in Appendix E.

The Board currently meets six times a year, and may hold additional special meetings to address specific matters that arise between regularly scheduled meetings. The independent Board members also meet regularly without the presence of management and are advised by independent legal counsel.

Information about the number of times the Board and each Committee met during each Fund’s most recent fiscal year is provided in Appendix F. No Board member attended less than 75% of the total number of meetings of each Board and Committee on which the Board member served during each Fund’s most recently completed fiscal year.

The Board has engaged Lord Abbett to manage the Funds on a day-to-day basis. Each Board is responsible for overseeing Lord Abbett, other service providers, the operations of each Fund and associated risks in accordance with the provisions of the 1940 Act, state law, other applicable laws, each Fund’s charter, and each Fund’s investment objective(s) and strategies. The Board reviews, on an ongoing basis, the Funds’ performance, operations, and investment strategies and techniques. The Board also conducts reviews of Lord Abbett and its role in running the operations of the Funds.

5

 

Day-to-day risk management with respect to the Funds is the responsibility of Lord Abbett or other service providers (depending on the nature of the risk), subject to the supervision of Lord Abbett. The Funds are subject to a number of risks, including investment, compliance, operational, and valuation risks, among others. While Lord Abbett has (and the Funds’ service providers have) implemented a number of measures intended to mitigate risk effectively to the extent practicable, it is not possible to eliminate all of the risks that are inherent in the operation of the Funds. Risk oversight is part of the Board’s general oversight of the Funds and is addressed as part of various Board and Committee activities. The Board, directly or through Committees, also receives and reviews reports from, among others, Lord Abbett and the independent registered public accounting firm for the Funds, as appropriate, regarding risks faced by the Funds and management’s or the service providers’ risk functions.

Specifically, the Audit Committee and the Contract Committee play important roles in overseeing risk management on behalf of the Funds. The Audit Committee oversees the risk management efforts for financial reporting, pricing and valuation, and liquidity risk and meets regularly with the Funds’ Chief Financial Officer and independent auditors, as well as with members of management, to discuss financial reporting and audit issues, including risks related to financial controls. The Contract Committee meets regularly with the Funds’ portfolio managers and Lord Abbett’s CCO to discuss investment performance achieved by the Funds and the investment risks assumed by the Funds to achieve that performance.

The Audit Committee operates pursuant to a written charter. For a copy of the Audit Committee Charter, please refer to Appendix M.

The Committee system facilitates the timely and efficient consideration of matters by the Board members and facilitates effective oversight of compliance with legal and regulatory requirements and of the Funds’ activities and their associated risks.

Lord Abbett’s CCO oversees the implementation and testing of the Funds’ compliance program and reports to the Board at least quarterly regarding compliance matters for the Funds, Lord Abbett, and the Funds’ service providers. The independent Board members have engaged independent legal counsel to assist them in performing their oversight responsibilities.

The Board also has appointed a Chief Legal Officer, who is responsible for overseeing internal reporting requirements imposed under rules adopted by the SEC pursuant to the Sarbanes-Oxley Act of 2002, which are designed to ensure that credible indications of material violations of federal securities laws or breaches of fiduciary duty are investigated and are adequately and appropriately resolved.

Finally, the Board appoints officers of the Funds to oversee the Funds’ daily affairs. Each officer is an interested person of the Funds under the 1940 Act because he or she is a partner or employee of Lord Abbett. Information about the executive officers of each Fund is set forth in Appendix G.

6

 

Board Compensation

Information relating to compensation paid to Board members is provided in Appendix H.

Equity Securities Owned by Board Nominees and Executive Officers

Information relating to the dollar range of equity securities owned by Board nominees in the Funds as of April 30, 2019 is set forth in Appendix I. Information concerning the Board nominees’ and the Funds’ executive officers’ aggregate ownership in the Funds is provided in Appendix J.

Investment Adviser, Administrator, and Principal Underwriter

Lord Abbett, a privately owned Delaware limited liability company, serves as each Fund’s investment adviser and administrator. Lord Abbett Distributor LLC (the “Distributor”), a wholly owned subsidiary of Lord Abbett, serves as each Fund’s principal underwriter. Lord Abbett and the Distributor are located at 90 Hudson Street, Jersey City, New Jersey 07302-3973. Founded in 1929, Lord Abbett manages one of the nation’s oldest mutual fund complexes and, as of April 30, 2019, manages approximately $180.2 billion in assets across a full range of funds, institutional accounts, and separately managed accounts, including $1.2 billion for which Lord Abbett provides investment models to managed account sponsors.

The Board recommends that you vote “FOR” the election of each Board nominee.

VOTING INFORMATION

Ownership of Fund Shares

The table in Appendix K sets forth the number of shares of each Fund issued and outstanding at the close of business on the Record Date. A list of each Fund’s shareholders of record as of the Record Date will be available for inspection at the Meeting.

As of April 30, 2019, to the best of the Funds’ knowledge, the persons listed in Appendix L beneficially owned more than 5% or 25% of the outstanding shares of the class or Fund indicated.

Solicitation Method

Solicitation may be made by mail, telephone, fax, e-mail, or the Internet by officers or employees of Lord Abbett, or by financial intermediaries and their representatives. The Funds may request that brokerage firms, custodians, banks, and other fiduciaries forward proxy solicitation material to beneficial owners of Fund shares. The Funds will reimburse brokerage firms, custodians, banks, and other fiduciaries for their expenses in forwarding this Proxy Statement and proxy materials to beneficial owners of each Fund’s shares (i.e., shareholders who hold Fund shares through a financial intermediary in its name for their benefit).

7

 

The Funds also will reimburse insurance companies, to the extent required by any agreement between the Funds and such insurance companies, for the cost of forwarding this information to variable annuity contract owners for the purpose of obtaining their voting instructions as to shares attributable to their contracts.

The Funds have retained Computershare Inc. (operating through its Computershare Fund Services division) (“Computershare”), 2950 Express Drive South, Suite 210, Islandia, NY 11749, a proxy services firm, to assist in the distribution of proxy materials and the solicitation and tabulation of proxies. It is anticipated that the Funds will pay Computershare approximately $4,000,000 for such services (including reimbursement of out-of-pocket expenses). Computershare may solicit proxies personally and by mail, telephone, fax, e-mail, or the Internet.

Solicitation Costs

The Funds will bear the cost of preparing, printing, and mailing this Proxy Statement, the enclosed proxy, and the accompanying notice, and costs in connection with the solicitation of proxies. The Funds also will incur additional out-of-pocket costs, such as legal expenses and auditor fees, in connection with the preparation of this Proxy Statement. Costs borne by the Funds collectively will be allocated among the Funds on the basis of their respective numbers of shareholder accounts, except when direct costs reasonably can be attributed to one or more specific Funds.

Quorum

Each Fund must achieve a quorum of shareholders to conduct business at the Meeting. For Global Fund, the holders of a majority of the shares entitled to vote on any matter at the Meeting, present in person or by proxy, will constitute a quorum of the Fund. For each of the other Funds, the holders of one-third of the shares entitled to vote on any matter at the Meeting, present in person or by proxy, will constitute a quorum of the Fund.

Required Vote

Each Fund is organized as a Delaware statutory trust (each, a “Delaware Fund” and collectively, the “Delaware Funds”) or a Maryland corporation (each, a “Maryland Fund” and collectively, the “Maryland Funds”). At the Meeting, the shareholders of each Fund (including any series) will vote collectively as a single class on the election of each Board nominee.

For each Delaware Fund, the affirmative vote of a plurality of the votes cast with respect to a Board nominee at the Meeting, assuming a quorum is present, is necessary to elect each Board nominee under the Proposal.

For each Maryland Fund, the affirmative vote of a majority of the votes cast with respect to a Board nominee at the Meeting, assuming a quorum is present, is necessary to elect each Board nominee under the Proposal.

8

 

Abstentions and Broker Non-Votes

Abstentions and “broker non-votes” (i.e., proxies from brokers or nominees indicating that they have not received voting instructions from the beneficial owner on a particular proposal for which the brokers or nominees do not have discretionary voting authority or elect not to exercise such authority), if any, will be counted as represented at the Meeting for purposes of determining whether a quorum has been reached, but will have no effect on the outcome of the election of any Board nominee.

Recording and Tabulation of Votes

Votes cast by proxy or in person at the Meeting will be tabulated by the inspectors of election appointed for the Meeting. The inspectors of election will determine whether a quorum is present at the Meeting for each Fund.

If you hold your shares directly (not through a financial intermediary) and you return a signed and dated proxy card that does not specify how you wish to vote, your shares will be voted “FOR” each of the Board nominees.

If you hold your shares through a financial intermediary, you must instruct the financial intermediary how to vote your shares. Because the Proposal is a “routine” matter under rules of the New York Stock Exchange, financial intermediaries may exercise their discretionary authority to vote shares of beneficial owners who do not provide timely voting instructions for the Proposal or to “echo vote” such shares in the same proportion as those shares for which the financial intermediaries have received voting instructions. If you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, you must instruct your insurance company how to vote. In addition, a properly executed proxy card, voting instruction card, or other authorization by a beneficial owner of Fund shares that does not specify how the beneficial owner’s shares should be voted may be deemed an instruction to vote such shares “FOR” each Board nominee. Please consult your financial intermediary or insurance company for more information about its practices with respect to voting beneficial owners’ shares.

Revocation

To revoke a proxy, you must submit a written notice of revocation or later dated proxy to the applicable Fund, or attend the Meeting and vote in person by ballot, in all cases before the proxy is exercised at the Meeting. Merely attending the Meeting, however, will not revoke a previously executed proxy. If you hold shares through a financial intermediary, please consult your financial intermediary regarding your ability to revoke voting instructions after you have provided them.

Attendance at the Meeting

Attendance at the Meeting will be limited to each Fund’s shareholders as of the Record Date. If you plan to attend the Meeting in person, in order to gain

9

 

admission you must show valid photographic identification, such as your driver’s license or passport. If you hold Fund shares through a financial intermediary, in order to gain admission you also must show satisfactory proof of ownership of shares in a Fund, such as your voting instruction form or a statement indicating ownership as of the Record Date. If you hold Fund shares through a financial intermediary, you will not be able to vote in person at the Meeting unless you previously have obtained a “legal proxy” from your financial intermediary and present it at the Meeting. Even if you plan to attend the Meeting, please promptly follow the enclosed instructions to submit voting instructions by telephone or via the Internet. Alternatively, you may submit voting instructions by signing, dating, and returning your proxy card. Variable Annuity Contract owners should follow the instructions provided by their insurance company. See “Special Note to Variable Annuity Contract Owners” below.

Adjournment of the Meeting

If any Fund does not receive sufficient votes to hold the Meeting, the Meeting may be adjourned to permit further solicitation of proxies. In determining whether to adjourn the Meeting, the persons named as proxies may consider the following factors, among other factors they deem relevant: the percentage of votes actually cast, the percentage of negative votes actually cast, and the nature of any further solicitation and any information to be provided to shareholders for such solicitation. Any such adjournment will require the affirmative vote of a majority of the shares of the applicable Fund present in person or by proxy (whether or not sufficient to constitute a quorum) and entitled to vote at the Meeting. The Delaware Funds may hold an adjourned Meeting without issuing another notice to shareholders provided the adjourned session or sessions are held within 90 days after the date set for the original meeting. The Maryland Funds may hold an adjourned Meeting without issuing another notice to shareholders, other than an announcement at the original Meeting, provided the session or sessions are held within 120 days after the Record Date.

INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM

The Board members, including a majority of the independent Board members, of each Fund have selected Deloitte & Touche LLP (“D&T”) as the Fund’s independent registered public accounting firm for the current fiscal year. D&T also will prepare the Funds’ federal and state income tax returns and provide certain permitted non-audit services. D&T, in accordance with Public Company Accounting Oversight Board Rule 3526, has confirmed to each Fund’s Audit Committee that they are independent auditors with respect to the Fund. Each Fund’s Audit Committee has considered whether the provision by D&T to the Fund of non-audit services to the Fund or of professional services to Lord Abbett and entities that control, are controlled by or are under common control with Lord Abbett is compatible with maintaining D&T’s independence and has discussed D&T’s independence with them. Representatives of D&T are not expected to be

10

 

present at the Meeting but have been given the opportunity to make a statement if they so desire and will be available if any matter arises requiring their presence.

Appendix M sets forth for each Fund the amount of fees billed by D&T for the two most recent fiscal years for all audit, non-audit, tax, and all other services provided directly to the Fund.

ADDITIONAL INFORMATION

Submission of Shareholder Proposals

The Funds do not hold annual shareholder meetings. A shareholder proposal intended to be presented at a future meeting of shareholders of a Fund, including a shareholder nomination for election to the Board of a Fund, must be received at the principal offices of the Funds a reasonable time before the Fund begins to print and send its proxy materials for inclusion in the proxy materials for a meeting. Timely submission of a proposal does not guarantee that the Funds will include the proposal in a proxy statement.

Shareholder Communications

Shareholders who want to communicate with the Board or any individual Board member(s) should write their Fund to the attention of the Secretary of the Fund, 90 Hudson Street, Jersey City, New Jersey 07302-3973. Communications to the Board must be signed by the shareholder and must specify: (1) the shareholder’s name and address, (2) the number of Fund shares owned by the shareholder, (3) the Fund(s) in which the shareholder owns shares, and (4) for shares held in “street name,” the name of the financial intermediary that holds Fund shares in its name for the shareholder’s benefit. The Secretary will forward such communications to the Board or the applicable Board member(s) at the next regularly scheduled meeting, if practicable, or promptly after receipt if the Secretary determines that the communications require more immediate attention.

Householding. We have adopted a policy that allows us to send only one copy of a prospectus, proxy statement, annual report, or semiannual report to certain shareholders residing in the same “household”, unless the Fund has received instructions to the contrary. This reduces Fund expenses, which benefits you and other shareholders. If you need additional copies or do not want your mailings to be “householded,” please call us at 888-522-2388 or send a written request with your name, the name of your Fund or Funds, and your account number or numbers to the Lord Abbett Family of Funds, P.O. Box 219336, Kansas City, MO 64121.

11

 

Other Business Items

Management does not intend to present any items other than the Proposal and is not aware that any other items of business will be presented at the Meeting. However, if other matters are properly presented for a vote at the Meeting, the persons named as proxies will vote on such matters in their sole discretion.

 

Whether or not you plan to attend the Meeting, please vote promptly using one of the methods below.
 

•

  

Internet. Access the Internet address provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card.

 

•

  

Telephone. Call the toll-free number provided on your proxy card and follow the instructions. You will need the control number provided on your proxy card.

 

•

  

Mail. Complete, sign, and date your proxy card and mail it to the address shown on the card.

Special Note to Variable Annuity Contract Owners

If you own a variable annuity contract whose values are allocated to one or more series of Lord Abbett Series Fund, you received this material because your insurance company is asking you to provide it with instructions as to how to vote the shares attributable to your contract at the Meeting or any adjourned session. Please complete the instruction card and return it to your insurance company as directed on the card or in the accompanying materials you received from the insurance company. Please do not return the instruction card to the Lord Abbett Family of Funds.

 

 

 

 

  

By Order of the Boards,

 

  

 

  

Lawrence B. Stoller

July 8, 2019

  

Vice President and Secretary

12

 

Appendix A: Fund Names

The Funds will be referred to throughout this Proxy Statement as listed below:

 

 

 

Fund

  

Term Used in this
Proxy Statement

Lord Abbett Affiliated Fund

  

Affiliated

Lord Abbett Bond Debenture Fund

  

Bond Debenture

Lord Abbett Developing Growth Fund

  

Developing Growth

Lord Abbett Global Fund

  

Global Fund

Lord Abbett Emerging Markets Bond Fund

  

Emerging Markets Bond

Lord Abbett Emerging Markets Corporate Debt Fund

  

Emerging Markets Corporate Debt

Lord Abbett Global Bond Fund

  

Global Bond

Lord Abbett Investment Trust

  

Investment Trust

Lord Abbett Convertible Fund

  

Convertible

Lord Abbett Core Fixed Income Fund

  

Core Fixed Income

Lord Abbett Core Plus Bond Fund

  

Core Plus Bond

Lord Abbett Corporate Bond Fund

  

Corporate Bond

Lord Abbett Floating Rate Fund

  

Floating Rate

Lord Abbett High Yield Fund

  

High Yield

Lord Abbett Income Fund

  

Income

Lord Abbett Inflation Focused Fund

  

Inflation Focused

Lord Abbett Multi-Asset Balanced Opportunity Fund

  

Multi-Asset Balanced Opportunity

Lord Abbett Multi-Asset Income Fund

  

Multi-Asset Income

Lord Abbett Short Duration Core Bond Fund

  

Short Duration Core Bond

Lord Abbett Short Duration Income Fund

  

Short Duration Income

Lord Abbett Total Return Fund

  

Total Return

Lord Abbett Ultra Short Bond Fund

  

Ultra Short Bond

Lord Abbett Mid Cap Stock Fund

  

Mid Cap Stock

Lord Abbett Municipal Income Fund

  

Municipal Income Fund

Lord Abbett California Tax Free Income Fund

  

CA Tax Free

Lord Abbett High Yield Municipal Bond Fund

  

High Yield Municipal Bond

Lord Abbett Intermediate Tax Free Fund

  

Intermediate Tax Free

Lord Abbett National Tax Free Income Fund

  

National Tax Free

Lord Abbett New Jersey Tax Free Income Fund

  

NJ Tax Free

Lord Abbett New York Tax Free Income Fund

  

NY Tax Free

Lord Abbett Short Duration High Yield Municipal
Bond Fund

  

Short Duration High Yield Municipal Bond

Lord Abbett Short Duration Tax Free Fund

  

Short Duration Tax Free

Lord Abbett Research Fund

  

Research Fund

Lord Abbett Calibrated Dividend Growth Fund

  

Calibrated Dividend Growth

Lord Abbett Growth Opportunities Fund

  

Growth Opportunities

Lord Abbett Small Cap Value Fund

  

Small Cap Value

Lord Abbett Securities Trust

  

Securities Trust

Lord Abbett Alpha Strategy Fund

  

Alpha Strategy

Lord Abbett Focused Growth Fund

  

Focused Growth

Lord Abbett Focused Small Cap Value Fund

  

Focused Small Cap Value

Lord Abbett Fundamental Equity Fund

  

Fundamental Equity

Lord Abbett Global Equity Research Fund

  

Global Equity Research

Lord Abbett Global Select Equity Fund

  

Global Select Equity

 

 

A-1

 

 

 

 

Fund

  

Term Used in this
Proxy Statement

Lord Abbett Growth Leaders Fund

  

Growth Leaders

Lord Abbett International Equity Fund

  

International Equity

Lord Abbett International Opportunities Fund

  

International Opportunities

Lord Abbett International Value Fund

  

International Value

Lord Abbett Micro Cap Growth Fund

  

Micro Cap Growth

Lord Abbett Value Opportunities Fund

  

Value Opportunities

Lord Abbett Series Fund

  

Series Fund

Bond Debenture Portfolio

  

Bond Debenture Portfolio

Calibrated Dividend Growth Portfolio

  

Calibrated Dividend Growth Portfolio

Classic Stock Portfolio

  

Classic Stock Portfolio

Developing Growth Portfolio

  

Developing Growth Portfolio

Fundamental Equity Portfolio

  

Fundamental Equity Portfolio

Growth and Income Portfolio

  

Growth and Income Portfolio

Growth Opportunities Portfolio

  

Growth Opportunities Portfolio

International Opportunities Portfolio

  

International Opportunities Portfolio

Mid Cap Stock Portfolio

  

Mid Cap Stock Portfolio

Short Duration Income Portfolio

  

Short Duration Income Portfolio

Total Return Portfolio

  

Total Return Portfolio

Lord Abbett U.S. Government & Government
Sponsored Enterprises Money Market Fund

  

U.S. Government Money Market

A-2

 

Appendix B: Board Nominees’ Biographical Information

Table 1. Certain biographical and other information relating to each Board nominee who is an “interested person” of each Fund, as that term is defined in the 1940 Act, is set forth below. Mr. Sieg is an interested person of the Funds because he is the Managing Partner and Chief Executive Officer of Lord Abbett, each Fund’s investment adviser. For information as to term of office and length of time served on each Board, see Appendix C.

 

 

 

 

 

 

 

Name, Address*, and
Year of Birth

  

Current Position
with Fund*

  

Principal Occupation
During Past Five Years

  

Other Directorships

Douglas B. Sieg
Lord, Abbett & Co. LLC
90 Hudson Street
Jersey City, NJ 07302 (1969)

  

Director/Trustee since 2016; President; Chief
Executive Officer since 2018

  

Managing Partner (since 2018), and was formerly Head of Client Services, joined Lord Abbett in 1994.

  

None

 
 

*

  

Mr. Sieg currently is a Director/Trustee and officer of each of the thirteen investment companies in the Lord Abbett Family of Funds, consisting of 57 portfolios or series.

Table 2. Certain biographical and other information relating to the Board nominees who are not “interested persons” of each Fund, as that term is defined in the 1940 Act, is set forth below. For information as to term of office and length of time served on each Board, see Appendix C.

 

 

 

 

 

Name, Address and
Year of Birth

  

Current Position
and Length
of Service with the
Company/Trust/Fund

  

Principal Occupation
and Other Directorships
During the Past Five Years

Eric C. Fast
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1949)

  

Director/Trustee since 2014

  

Principal Occupation: Chief Executive Officer of Crane Co., an industrial products company (2001–2014).
Other Directorships: Currently serves as director of Automatic Data Processing, Inc. (since 2007) and Regions Financial Corporation (since 2010). Previously served as a director of Crane Co. (1999–2014).

Evelyn E. Guernsey
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1955)

  

Director/Trustee since 2011

  

Principal Occupation: None
Other Directorships: None

Julie A. Hill
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1946)

  

Director/Trustee since 2004

  

Principal Occupation: Owner and CEO of The Hill Company, a business consulting firm (since 1998).
Other Directorships: Currently serves as director of Anthem, Inc., a health benefits company (since 1994).

 

 

 

 

B-1

 

 

 

 

 

 

Name, Address and
Year of Birth

  

Current Position
and Length
of Service with the
Company/Trust/Fund

  

Principal Occupation
and Other Directorships
During the Past Five Years

Kathleen M. Lutito
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1963)

  

Director/Trustee since 2017

  

Principal Occupation: President and Chief Investment Officer of CenturyLink Investment Management Company (since 2006).
Other Directorships: None

James M. McTaggart
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1947)

  

Director/Trustee since 2012

  

Principal Occupation: Independent management advisor and consultant (since 2012).
Other Directorships: Blyth, Inc., a home products company (2004–2015).

Charles O. Prince*
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1950)

  

Director/Trustee nominee

  

Principal Occupation: None
Other Directorships: Currently serves as director of Johnson & Johnson (2006–Present) and Sconset Group, LLC, a merchant banking company (2009–Present). Previously served as director of Xerox Corporation (2008–2018).

Karla M. Rabusch
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1959)

  

Director/Trustee since 2017

  

Principal Occupation: President and Director of Wells Fargo Funds Management, LLC (2003–2017); President of Wells Fargo Funds (2003–2016).
Other Directorships: None

Mark A. Schmid
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1959)

  

Director/Trustee since 2016

  

Principal Occupation: Vice President and Chief Investment Officer of the University of Chicago (since 2009).
Other Directorships: None

James L.L. Tullis
Lord, Abbett & Co. LLC
c/o Legal Dept.
90 Hudson Street
Jersey City, NJ 07302
(1947)

  

Director/Trustee since 2006; Chairman since 2017

 

Principal Occupation: CEO of Tullis-Dickerson and Co. Inc., a venture capital management firm (1990–2016); CEO of Tullis Health Investors—FL LLC (since 2012).
Other Directorships: Currently serves as director of Crane Co. (since 1998), Alphatec Spine, Inc. (since 2018), and electroCore, Inc. (since 2018).

 
 

*

  

Mr. Prince was made a Director/Trustee nominee effective May 23, 2019. Mr. Prince does not currently serve as a Director/Trustee and is standing for election at the Meeting. Mr. Prince has been nominated to stand for election by the Board of each Company/Trust.

B-2

 

Appendix C: Board Nominees’ Term and Tenure

Each Board member serves for an indefinite term (i.e. until his or her death, resignation, retirement, or removal). Set forth below is the year in which each current Board member became a member of the Board of each Fund.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Sieg*

  

Fast

  

Guernsey

  

Hill

  

Lutito

  

McTaggart

  

Prince**

  

Rabusch

  

Schmid

  

Tullis

2016

  

2014

  

2011

  

2004

  

2017

  

2012

  

N/A

  

2017

  

2016

  

2006

 
 

*

  

Mr. Sieg is an “interested person” of each Fund, as that term is defined in Section 2(a)(19) of the 1940 Act.

 

**

  

Mr. Prince was made a Board nominee effective May 23, 2019. Mr. Prince does not currently serve as a member of the Board and is standing for election at the Meeting.

C-1

 

Appendix D: Board Nominees’ Experience, Qualifications, and Skills

Interested Board Nominee:
 

•

  

Douglas B. Sieg. Board tenure with the Lord Abbett Family of Funds (since 2016), financial services industry experience, chief executive officer experience, leadership experience, corporate governance experience, and civic/community involvement.

Independent Board Nominees:
 

•

  

Eric C. Fast. Board tenure with the Lord Abbett Family of Funds (since 2014), financial services industry experience, chief executive officer experience, corporate governance experience, and civic/community involvement.

 

•

  

Evelyn E. Guernsey. Board tenure with the Lord Abbett Family of Funds (since 2011), financial services industry experience, chief executive officer experience, marketing experience, corporate governance experience, and civic/community involvement.

 

•

  

Julie A. Hill. Board tenure with the Lord Abbett Family of Funds (since 2004), business management and marketing experience, chief executive officer experience, entrepreneurial background, corporate governance experience, service in academia, and civic/community involvement.

 

•

  

Kathleen M. Lutito. Board tenure with the Lord Abbett Family of Funds (since 2017), financial services industry experience, financial expertise, leadership experience, and corporate governance experience.

 

•

  

James M. McTaggart. Board tenure with the Lord Abbett Family of Funds (since 2012), financial services industry experience, chief executive officer experience, entrepreneurial background, corporate governance experience, financial expertise, marketing experience, and civic/community involvement.

 

•

  

Charles O. Prince. Financial services industry experience, chief executive officer experience, legal and regulatory experience, entrepreneurial background, corporate governance experience.

 

•

  

Karla M. Rabusch. Board tenure with the Lord Abbett Family of Funds (since 2017), chief executive officer experience, mutual fund industry experience, financial expertise, and corporate governance experience.

 

•

  

Mark A. Schmid. Board tenure with the Lord Abbett Family of Funds (since 2016), financial services industry experience, leadership experience, corporate governance experience, service in academia, financial expertise, and civic/community involvement.

 

•

  

James L.L. Tullis. Board tenure with the Lord Abbett Family of Funds (since 2006, Chairman since 2017), financial services industry experience, chief executive officer experience, corporate governance experience, financial expertise, and civic/community involvement.

D-1

 

Appendix E: Standing Committees of the Board

 

 

 

 

 

Committee

  

Committee Members

  

Description

Audit
Committee

  

Evelyn E. Guernsey
James M. McTaggart
Karla M. Rabusch
Mark A. Schmid

  

The Audit Committee is comprised solely of independent Board members. The Audit Committee provides assistance to the Board in fulfilling its responsibilities relating to accounting matters, the reporting practices of the Funds, and the quality and integrity of each Fund’s financial reports. Among other things, the Audit Committee is responsible for reviewing and evaluating the performance and independence of the Funds’ independent registered public accounting firm and considering violations of the Funds’ Code of Ethics to determine what action should be taken. The Audit Committee meets at least quarterly.

 

Proxy
Committee

  

Eric C. Fast
Julie A. Hill
Kathleen M. Lutito
James L.L. Tullis

  

The Proxy Committee is comprised of at least two independent Board members, and also may include one or more Board Members who are partners or employees of Lord Abbett. Currently, the Proxy Committee is comprised solely of independent Board members. The Proxy Committee (i) monitors the actions of Lord Abbett in voting securities owned by the Funds; (ii) evaluates the policies of Lord Abbett in voting securities; and (iii) meets with Lord Abbett to review the policies in voting securities, the sources of information used in determining how to vote on particular matters, and the procedures used to determine the votes in any situation where there may be a conflict of interest.

 

Nominating
and
Governance
Committee

  

Eric C. Fast
Evelyn E. Guernsey
Julie A. Hill
Kathleen M. Lutito
James M. McTaggart
Karla M. Rabusch
Mark A. Schmid
James L.L. Tullis

  

The Nominating and Governance Committee is comprised of all independent Board members. Among other things, the Nominating and Governance Committee is responsible for (i) evaluating and nominating individuals to serve as independent Board members and as committee members; and (ii) periodically reviewing Board Member compensation. The Nominating and Governance Committee has adopted policies for its consideration of any individual recommended by the Funds’ shareholders to serve as an independent Board member. A shareholder who would like to recommend a candidate may write to the Funds.

 

Contract
Committee

  

Eric C. Fast
Evelyn E. Guernsey
Julie A. Hill
Kathleen M. Lutito
James M. McTaggart
Karla M. Rabusch
Mark A. Schmid
James L.L. Tullis

  

The Contract Committee is comprised of all independent Board members. The Contract Committee conducts much of the factual inquiry undertaken by the Board Members in connection with the Board’s annual consideration of whether to renew the management and other contracts with Lord Abbett and the Distributor. During the year, the Committee meets with Lord Abbett management and portfolio management to monitor ongoing developments involving Lord Abbett and each Fund’s portfolio.

E-1

 

Appendix F: Board and Committee Meetings

Set forth in the table below is information regarding the number of meetings of the Board and the Committees held during each Fund’s most recently completed fiscal year.

 

 

 

 

 

 

 

 

 

 

 

Fund

  

Number of Meetings During Last Fiscal Year
 

Board

  

Audit
Committee

  

Proxy
Governance

  

Nominating
and
Governance
Committee

  

Contract
Committee

Affiliated

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

8

  

Bond Debenture

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

7

  

Developing Growth

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

9

  

Global Fund

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

7

  

Investment Trust

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

7

  

Mid Cap Stock

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

7

  

Municipal Income Fund

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

8

  

Research Fund

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

7

  

Securities Trust

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

8

  

Series Fund

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

7

  

U.S. Government Money Market

 

 

  

7

  

 

 

  

4

  

 

 

  

2

  

 

 

  

6

  

 

 

  

9

  

F-1

 

Appendix G: Executive Officers’ Biographical Information

Certain biographical and other information relating to the executive officers of each Fund is set forth below. Each officer serves for an indefinite term (i.e., until his or her death, resignation, retirement, or removal). None of the officers listed below receives compensation from any Fund.

Certain biographical and other information relating to the executive officers of each Fund is set forth below. Each officer serves for an indefinite term (i.e., until his or her death, resignation, retirement, or removal). None of the officers listed below receives compensation from any Fund.

 

 

 

 

 

 

 

Name and
Year of Birth

  

Current Position with the
Company/Trust/Fund

  

Length of Service
of Current Position

  

Principal Occupation
During the Past Five Years

Douglas B. Sieg
(1969)

  

President and Chief Executive Officer

  

Elected as President and Chief Executive Officer in 2018.

  

Managing Partner of Lord Abbett (since 2018) and was formerly Head of Client Services, joined Lord Abbett in 1994.

Jackson C. Chan
(1964)

  

AML Compliance Officer

  

Elected in 2018

  

Deputy Chief Compliance Officer and Director of Regulatory Affairs, joined Lord Abbett in 2014 and was formerly Director at UBS Global Asset Management (2005–2014).

Pamela P. Chen
(1978)

  

Vice President, Assistant Secretary and Privacy Officer

  

Elected as Vice President and Assistant Secretary in 2018 and Privacy Officer in 2019

  

Associate General Counsel, joined Lord Abbett in 2017 and was formerly Special Counsel at Schulte, Roth & Zabel LLP (2005–2017).

John T. Fitzgerald
(1975)

  

Vice President and Assistant Secretary

  

Elected in 2018

  

Deputy General Counsel, joined Lord Abbett in 2018 and was formerly Deputy Head of U.S. Funds Legal, Executive Director and Assistant General Counsel at JPMorgan Chase (2005–2018).

Vito A. Fronda
(1969)

  

Treasurer

  

Elected in 2018

  

Partner and Director of Taxation, joined Lord Abbett in 2003.

Bernard J. Grzelak
(1971)

  

Chief Financial Officer and Vice President

  

Elected in 2017

  

Partner, Chief Operating Officer, Global Funds and Risk, joined Lord Abbett in 2003.

Linda Y. Kim
(1980)

  

Vice President and Assistant Secretary

  

Elected in 2016

  

Counsel, joined Lord Abbett in 2015 and was formerly an Associate at Stroock & Stroock & Lavan LLP (2007–2015).

 

 

 

 

 

 

G-1

 

 

 

 

 

 

 

 

Name and
Year of Birth

  

Current Position with the
Company/Trust/Fund

  

Length of Service
of Current Position

  

Principal Occupation
During the Past Five Years

Joseph M. McGill
(1962)

  

Chief Compliance Officer

  

Elected in 2014

  

Partner and Chief Compliance Officer, joined Lord Abbett in 2014.

Amanda S. Ryan
(1978)

  

Vice President and Assistant Secretary

  

Elected in 2018

  

Counsel, joined Lord Abbett in 2016 and was formerly a Director and Corporate Counsel at PGIM Investments (2012–2016).

Lawrence B. Stoller
(1963)

  

Vice President, Secretary and Chief Legal Officer

  

Elected as Vice President and Assistant Secretary in 2007 and Secretary and Chief Legal Officer in 2019

  

Partner and General Counsel, joined Lord Abbett in 2007.

G-2

 

Appendix H: Board Compensation

Table 1. Compensation Paid to Board Members by each Fund

Set forth in the table below is information regarding compensation for serving as an independent Board member accrued by each during each Fund’s most recently completed fiscal year. Mr. Sieg is not compensated for serving as a Board member of the Fund.

Independent Board member fees, including attendance fees for Board and Committee meetings, are allocated among all Funds based on the net assets of each Fund. A portion of the fees payable by each Fund to its independent Board members may be deferred at the option of a Board member under an equity-based plan (the “equity-based plan”) that deems the deferred amounts to be invested in shares of a Fund for later distribution to the Board member. In addition, $25,000 of each independent Board member’s $231,000 annual retainer must be deferred and is deemed invested in shares of the Funds under the equity-based plan. The amounts ultimately received by the Board members under the equity-based plan will be directly linked to the investment performance of the Funds. The Chairman receives additional compensation of $145,000 per year, and the additional compensation of the Audit Committee Chair is $52,000 annually and the compensation of the Proxy Committee Chair is $21,000 annually. The annual retainer for service on the Contract Committee is $30,000. The fee for attendance at Board meetings is $10,750 per meeting and the fee for attendance at Committee meetings (other than Contract Committee meetings) is $2,000 per meeting. No meeting fee is paid for attending a special meeting (on any topic) at which less than one-third of all Board members (or Committee members) are present (in-person or telephonically).

 

 

 

 

 

 

 

 

 

 

 

Fund

  

Fast

  

Guernsey

  

Hill

  

Lutito*

  

McTaggart

Affiliated

 

 

  

$16,200

  

 

 

  

$18,718

  

 

 

  

$16,767

  

 

 

  

$13,674

  

 

 

  

$16,410

  

Bond Debenture

 

 

  

31,151

  

 

 

  

36,180

  

 

 

  

32,969

  

 

 

  

31,151

  

 

 

  

31,494

  

Developing Growth

 

 

  

4,718

  

 

 

  

5,379

  

 

 

  

4,848

  

 

 

  

2,701

  

 

 

  

4,780

  

Global Fund

 

 

  

1,136

  

 

 

  

1,293

  

 

 

  

1,182

  

 

 

  

1,136

  

 

 

  

1,139

  

Investment Trust

 

 

  

193,219

  

 

 

  

222,891

  

 

 

  

199,846

  

 

 

  

164,007

  

 

 

  

195,531

  

Mid Cap Stock

 

 

  

4,258

  

 

 

  

4,844

  

 

 

  

4,433

  

 

 

  

4,258

  

 

 

  

4,268

  

Municipal Income Fund

 

 

  

27,082

  

 

 

  

31,072

  

 

 

  

27,901

  

 

 

  

18,897

  

 

 

  

27,445

  

Research Fund

 

 

  

10,242

  

 

 

  

11,825

  

 

 

  

10,602

  

 

 

  

8,718

  

 

 

  

10,369

  

Securities Trust

 

 

  

31,715

  

 

 

  

36,510

  

 

 

  

32,749

  

 

 

  

26,921

  

 

 

  

32,064

  

Series Fund

 

 

  

8,678

  

 

 

  

9,943

  

 

 

  

9,084

  

 

 

  

8,678

  

 

 

  

8,725

  

U.S. Government Money Market

 

 

  

1,134

  

 

 

  

1,318

  

 

 

  

1,195

  

 

 

  

457

  

 

 

  

1,184

  

H-1

 

 

 

 

 

 

 

 

 

 

Fund

  

Prince**

  

Rabusch*

  

Schmid

  

Tullis

Affiliated

 

 

  

N/A

  

 

 

$

 

13,867

  

 

 

$

 

16,393

  

 

 

$

 

22,396

  

Bond Debenture

 

 

  

N/A

  

 

 

  

31,534

  

 

 

  

31,534

  

 

 

  

43,535

  

Developing Growth

 

 

  

N/A

  

 

 

  

2,759

  

 

 

  

4,776

  

 

 

  

6,460

  

Global Fund

 

 

  

N/A

  

 

 

  

1,150

  

 

 

  

1,150

  

 

 

  

1,594

  

Investment Trust

 

 

  

N/A

  

 

 

  

166,324

  

 

 

  

195,536

  

 

 

  

267,030

  

Mid Cap Stock

 

 

  

N/A

  

 

 

  

4,310

  

 

 

  

4,310

  

 

 

  

5,943

  

Municipal Income Fund

 

 

  

N/A

  

 

 

  

19,063

  

 

 

  

27,422

  

 

 

  

37,248

  

Research Fund

 

 

  

N/A

  

 

 

  

8,843

  

 

 

  

10,366

  

 

 

  

14,157

  

Securities Trust

 

 

  

N/A

  

 

 

  

27,306

  

 

 

  

32,101

  

 

 

  

43,759

  

Series Fund

 

 

  

N/A

  

 

 

  

8,784

  

 

 

  

8,784

  

 

 

  

12,122

  

U.S. Government Money Market

 

 

  

N/A

  

 

 

  

463

  

 

 

  

1,185

  

 

 

  

1,591

  

 
 

*

  

Ms. Lutito and Ms. Rabusch were nominated and appointed to serve on the Board of the Funds effective December 30, 2017.

 

**

  

Mr. Prince was made a Board nominee effective May 23, 2019, and as such has no compensation prior to such date.

Table 2. Aggregate Compensation Paid to Board Members by All Funds

Set forth in the first column of the table below is information regarding the aggregate compensation paid by the Lord Abbett-sponsored Funds to the independent Board members for the year ended December 31, 2018. The fees listed below include Board member fees and attendance fees for Board and Committee meetings and fees Board members have chosen to defer under the equity-based plan. Of the amounts shown in the first column, the total deferred amount is indicated in the second column

 

 

 

 

 

Name

  

Aggregate Compensation
Paid to Board Members
by Lord Abbett-
Sponsored Funds

  

Deferred Compensation
Payable to Board
Members by Lord Abbett-
Sponsored Funds

Eric C. Fast

 

 

$

 

327,400

  

 

 

$

 

327,400

  

Evelyn E. Guernsey

 

 

  

381,400

  

 

 

  

25,000

  

Julie A. Hill

 

 

  

347,400

  

 

 

  

84,500

  

Kathleen M. Lutito*

 

 

  

327,400

  

 

 

  

327,400

  

James M. McTaggart

 

 

  

331,400

  

 

 

  

200,000

  

Charles O. Prince**

 

 

  

N/A

  

 

 

  

N/A

  

Karla M. Rabusch*

 

 

  

331,400

  

 

 

  

331,900

  

Mark A. Schmid

 

 

  

331,400

  

 

 

  

331,400

  

James L.L. Tullis

 

 

  

457,400

  

 

 

  

242,200

  

 
 

*

  

Ms. Lutito and Ms. Rabusch were nominated and appointed to serve on the Board of the Funds effective December 30, 2017.

 

**

  

Mr. Prince was made a Board nominee effective May 23, 2019, and as such has no compensation prior to such date.

H-2

 

Appendix I: Board Nominees’ Ownership of Fund Shares

The following table provides certain information on the dollar range of equity securities beneficially owned by each Board nominee in each Fund as of April 30, 2019. The amounts shown include deferred compensation to the Board members deemed invested in Fund shares. The amounts ultimately received by the Board members under the equity-based plan will be directly linked to the investment performance of the Funds.

 

 

 

 

 

 

 

 

 

Dollar Range of Equity
Securities in Each Fund

  

Name of Board Nominee*
 

Sieg**

  

Fast

  

Guernsey

  

Hill

Affiliated

  

Over $100,000

  

$1-$10,000

  

$10,001-$50,000

  

Over $100,000

Bond Debenture

  

$0

  

$10,001-$50,000

  

$10,001-$50,000

  

Over $100,000

Developing Growth

  

Over $100,000

  

$1-$10,000

  

$1-10,000

  

$50,001-$100,000

Global Fund

 

 

 

 

 

 

 

 

Emerging Markets Bond

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Emerging Markets Corporate Debt

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Global Bond

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Investment Trust

 

 

 

 

 

 

 

 

Convertible

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Core Fixed Income

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Core Plus Bond

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Corporate Bond

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Floating Rate

  

$0

  

Over $100,000

  

$10,001-$50,000

  

$50,001-$100,000

High Yield

  

$50,001-$100,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Income

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Inflation Focused

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Multi-Asset Balanced Opportunity

  

$10,001-$50,000

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

Multi-Asset Income

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Short Duration Core Bond

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Short Duration Income

  

$50,001-$100,000

  

$10,001-$50,000

  

$50,001-$100,000

  

Over $100,000

Total Return

  

$50,001-$100,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Ultra Short Bond

  

$50,001-$100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Mid Cap Stock

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

Municipal Income Fund

 

 

 

 

 

 

 

 

CA Tax Free

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

High Yield Municipal Bond

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Intermediate Tax Free

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

National Tax Free

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

NJ Tax Free

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

NY Tax Free

  

$0

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

Short Duration High Yield Municipal Bond

  

$50,001-$100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Short Duration Tax Free

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Research Fund

 

 

 

 

 

 

 

 

Calibrated Dividend Growth

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

Growth Opportunities

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Small Cap Value

  

$10,001-$50,000

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

Securities Trust

 

 

 

 

 

 

 

 

Alpha Strategy

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

Focused Growth

  

$0

  

$0

  

$0

  

$0

I-1

 

 

 

 

 

 

 

 

 

 

Dollar Range of Equity
Securities in Each Fund

  

Name of Board Nominee*
 

Sieg**

  

Fast

  

Guernsey

  

Hill

Focused Small Cap Value

  

$10,001-$50,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Fundamental Equity

  

Over $100,000

  

Over $100,000

  

$10,001-$50,000

  

$50,001-$100,000

Global Equity Research

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Global Select Equity

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Growth Leaders

  

Over $100,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

International Equity

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

International Value

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

International Opportunities

  

$10,001-$50,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Micro Cap Growth

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Value Opportunities

  

$10,001-$50,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Series Fund

 

 

 

 

 

 

 

 

Bond Debenture Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Calibrated Dividend Growth Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Classic Stock Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Developing Growth Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Fundamental Equity Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Growth and Income Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Growth Opportunities Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

International Opportunities Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Mid Cap Stock Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Short Duration Income Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Total Return Portfolio

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

U.S. Government Money Market

  

$0

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Aggregate Dollar Range of
Equity Securities in All
Lord Abbett-Sponsored Funds

  

Over $100,000

  

Over $100,000

  

Over $100,000

  

Over $100,000

 
 

*

  

Mr. Prince was made a Board nominee effective May 23, 2019, and as such, did not beneficially own any equity securities as of April 30, 2019.

 

**

  

Mr. Sieg is an “interested person” of each Fund, as that term is defined in Section 2(a)(19) of the 1940 Act.

I-2

 

 

 

 

 

 

 

 

 

 

 

 

Dollar Range of Equity
Securities in Each Fund

  

Name of Board Nominee*
 

Lutito

  

McTaggart

  

Rabusch

  

Schmid

  

Tullis

Affiliated

  

$1-$10,000

  

$10,001-$50,000

  

$50,001-$100,000

  

$1-$10,000

  

Over $100,000

Bond Debenture

  

$50,001-$100,000

  

$10,001-$50,000

  

Over $100,000

  

$1-$10,000

  

$50,001-$100,000

Developing Growth

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

  

$1-$10,000

  

$50,001-$100,000

Global Fund

 

 

 

 

 

 

 

 

 

 

Emerging Markets Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Emerging Markets Corporate Debt

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

Global Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Investment Trust

 

 

 

 

 

 

 

 

 

 

Convertible

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

Core Fixed Income

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Core Plus Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Corporate Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Floating Rate

  

$1-$10,000

  

$10,001-$50,000

  

Over $100,000

  

$1-$10,000

  

$10,001-$50,000

High Yield

  

$50,001-$100,000

  

$1-$10,000

  

Over $100,000

  

Over $100,000

  

$50,001-$100,000

Income

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

  

$1-$10,000

  

$1-$10,000

Inflation Focused

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Multi-Asset Balanced Opportunity

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Multi-Asset Income

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Short Duration Core Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Short Duration Income

  

$10,001-$50,000

  

$50,001-$100,000

  

Over $100,000

  

Over $100,000

  

Over $100,000

Total Return

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Ultra Short Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Mid Cap Stock

  

$1-$10,000

  

Over $100,000

  

$50,001-$100,000

  

$1-$10,000

  

Over $100,000

Municipal Income Fund

 

 

 

 

 

 

 

 

 

 

CA Tax Free

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

High Yield Municipal Bond

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Intermediate Tax Free

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

National Tax Free

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

NJ Tax Free

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

NY Tax Free

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Short Duration High Yield Municipal Bond

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Short Duration Tax Free

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Research Fund

 

 

 

 

 

 

 

 

 

 

Calibrated Dividend Growth

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

  

$1-$10,000

  

$10,001-$50,000

Growth Opportunities

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Small Cap Value

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$10,001-$50,000

Securities Trust

 

 

 

 

 

 

 

 

 

 

Alpha Strategy

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Focused Growth

  

$0

  

$0

  

$0

  

$0

  

$0

Focused Small Cap Value

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Fundamental Equity

  

Over $100,000

  

Over $100,000

  

$1-$10,000

  

Over $100,000

  

Over $100,000

Global Equity Research

 

 

 

 

 

 

 

 

  

$1-$10,000

Global Select Equity

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Growth Leaders

  

Over $100,000

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$1-$10,000

International Equity

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

International Value

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

International Opportunities

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

  

Over $100,000

  

$1-$10,000

Micro Cap Growth

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

Over $100,000

Value Opportunities

  

$50,001-$100,000

  

$1-$10,000

  

Over $100,000

  

$1-$10,000

  

$10,001-$50,000

Series Fund

 

 

 

 

 

 

 

 

 

 

Bond Debenture Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Calibrated Dividend Growth Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

I-3

 

 

 

 

 

 

 

 

 

 

 

 

Dollar Range of Equity
Securities in Each Fund

  

Name of Board Nominee*
 

Lutito

  

McTaggart

  

Rabusch

  

Schmid

  

Tullis

Classic Stock Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Developing Growth Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Fundamental Equity Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Growth and Income Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$10,001-$50,000

Growth Opportunities Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

International Opportunities Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Mid Cap Stock Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Short Duration Income Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

Total Return Portfolio

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

  

$1-$10,000

U.S. Government Money Market

  

$1-$10,000

  

$1-$10,000

  

$50,001-$100,000

  

$1-$10,000

  

$1-$10,000

Aggregate Dollar Range of
Equity Securities in All
Lord Abbett-Sponsored Funds

  

Over $100,000

  

Over $100,000

  

Over $100,000

  

Over $100,000

  

Over $100,000

 
 

*

  

Mr. Prince was made a Board nominee effective May 23, 2019, and as such, did not beneficially own any securities as of April 30, 2019.

I-4

 

Appendix J: Board Nominees’ and Executive Officers’ Aggregate Ownership of Fund Shares

As of April 30, 2019, the Board nominees and the Funds’ executive officers owned, as a group, less than 1% of the issued and outstanding shares of each class of the Funds except as set forth below.

 

 

 

 

 

Emerging Markets Corporate Debt

  

Class A

 

 

  

1.94

%

 

International Equity

  

Class R6

 

 

  

1.52

%

 

Calibrated Dividend Growth

  

Class R6

 

 

  

6.40

%

 

Focused Growth

  

Class A

 

 

  

1.94

%

 

Global Equity Research

  

Class A

 

 

  

45.30

%

 

Global Equity Research

  

Class R6

 

 

  

15.24

%

 

Global Select Equity

  

Class A

 

 

  

35.12

%

 

Growth Leaders

  

Class R6

 

 

  

9.60

%

 

Growth Opportunities

  

Class R6

 

 

  

1.65

%

 

International Value

  

Class R6

 

 

  

2.77

%

 

Mid Cap Stock

  

Class R6

 

 

  

7.22

%

 

Short Duration High Yield Municipal Bond

  

Class A

 

 

  

7.33

%

 

J-1

 

Appendix K: Shares Outstanding as of Record Date (June 24, 2019)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fund

  

Class A

  

Class C

  

Class F

  

Class F3

  

Class I

  

Class P

  

Class R2

  

Class R3

  

Class R4

  

Class R5

  

Class R6

Affiliated

 

 

  

368,123,517.34

  

 

 

  

8,265,923.52

  

 

 

  

20,756,392.80

  

 

 

  

7,061,816.12

  

 

 

  

7,376,662.04

  

 

 

  

910,210.78

  

 

 

  

102,024.52

  

 

 

  

2,757,134.90

  

 

 

  

518,688.23

  

 

 

  

12,734.04

  

 

 

  

2,545,900.35

  

Bond Debenture

 

 

  

591,916,924.20

  

 

 

  

159,746,746.00

  

 

 

  

575,403,401.15

  

 

 

  

234,798,961.78

  

 

 

  

134,771,297.51

  

 

 

  

2,214,685.22

  

 

 

  

864,245.23

  

 

 

  

21,526,307.07

  

 

 

  

3,742,011.54

  

 

 

  

4,329,231.80

  

 

 

  

15,769,335.88

  

Developing Growth

 

 

  

27,552,560.37

  

 

 

  

1,336,091.71

  

 

 

  

4,210,260.15

  

 

 

  

106,241.92

  

 

 

  

27,674,645.33

  

 

 

  

896,650.26

  

 

 

  

207,848.47

  

 

 

  

4,325,067.71

  

 

 

  

228,986.20

  

 

 

  

146,691.69

  

 

 

  

7,697,935.68

  

Global Fund

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Emerging Markets Bond

 

 

  

2,386,620.80

  

 

 

  

307,752.27

  

 

 

  

971,100.92

  

 

 

  

104,789.77

  

 

 

  

31,188,705.02

  

 

 

  

—

  

 

 

  

15,284.17

  

 

 

  

55,535.06

  

 

 

  

11,660.73

  

 

 

  

2,202.60

  

 

 

  

68,958.61

  

Emerging Markets Corporate Debt

 

 

  

707,748.87

  

 

 

  

142,358.66

  

 

 

  

1,728,439.99

  

 

 

  

726.75

  

 

 

  

229,341.65

  

 

 

  

—

  

 

 

  

8,900.04

  

 

 

  

9,033.94

  

 

 

  

834.85

  

 

 

  

16,408.09

  

 

 

  

7,306.53

  

Global Bond

 

 

  

207,101.44

  

 

 

  

26,216.77

  

 

 

  

206,158.12

  

 

 

  

154,775.37

  

 

 

  

206,158.05

  

 

 

  

—

  

 

 

  

—

  

 

 

  

25,662.44

  

 

 

  

25,716.59

  

 

 

  

25,770.87

  

 

 

  

168,554.97

  

Investment Trust

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Convertible

 

 

  

10,105,517.35

  

 

 

  

3,062,607.17

  

 

 

  

12,187,250.67

  

 

 

  

520,363.32

  

 

 

  

27,243,261.42

  

 

 

  

4,915.68

  

 

 

  

5,116.55

  

 

 

  

713,451.95

  

 

 

  

5,874.09

  

 

 

  

57,701.00

  

 

 

  

342,738.15

  

Core Fixed Income

 

 

  

41,316,995.57

  

 

 

  

3,883,101.57

  

 

 

  

15,082,791.05

  

 

 

  

24,479,912.53

  

 

 

  

31,905,412.23

  

 

 

  

10.54

  

 

 

  

50,544.06

  

 

 

  

1,140,808.85

  

 

 

  

533,170.90

  

 

 

  

108,615.44

  

 

 

  

4,217,975.16

  

Core Plus Bond

 

 

  

958,089.79

  

 

 

  

75,312.34

  

 

 

  

3,048,137.08

  

 

 

  

721.07

  

 

 

  

8,359.28

  

 

 

  

—

  

 

 

  

1,877.54

  

 

 

  

1,936.00

  

 

 

  

1,900.48

  

 

 

  

1,916.95

  

 

 

  

1,922.66

  

Corporate Bond

 

 

  

54,560.10

  

 

 

  

24,494.56

  

 

 

  

244,921.96

  

 

 

  

164,561.11

  

 

 

  

16,610.41

  

 

 

  

—

  

 

 

  

2,703.76

  

 

 

  

5,141.72

  

 

 

  

2,723.65

  

 

 

  

2,737.90

  

 

 

  

164,561.06

  

Floating Rate

 

 

  

318,490,887.83

  

 

 

  

157,920,964.64

  

 

 

  

556,442,015.73

  

 

 

  

20,871,483.10

  

 

 

  

205,451,047.52

  

 

 

  

—

  

 

 

  

195,844.91

  

 

 

  

6,141,916.40

  

 

 

  

745,984.66

  

 

 

  

715,163.87

  

 

 

  

10,294,130.95

  

High Yield

 

 

  

165,859,326.97

  

 

 

  

53,320,624.54

  

 

 

  

285,514,729.01

  

 

 

  

70,765,729.88

  

 

 

  

200,253,422.07

  

 

 

  

9,007.72

  

 

 

  

1,740,849.57

  

 

 

  

15,307,779.41

  

 

 

  

14,127,475.35

  

 

 

  

37,964,478.92

  

 

 

  

72,022,865.38

  

Income

 

 

  

327,729,108.23

  

 

 

  

58,822,258.26

  

 

 

  

182,845,888.36

  

 

 

  

170,373,845.76

  

 

 

  

59,952,144.48

  

 

 

  

—

  

 

 

  

497,619.76

  

 

 

  

18,293,996.99

  

 

 

  

2,414,764.39

  

 

 

  

1,859,255.62

  

 

 

  

15,941,687.64

  

Inflation Focused

 

 

  

10,930,306.52

  

 

 

  

3,293,376.44

  

 

 

  

29,328,040.66

  

 

 

  

1,569,803.48

  

 

 

  

57,100,414.47

  

 

 

  

—

  

 

 

  

6,941.20

  

 

 

  

8,937.44

  

 

 

  

235,133.43

  

 

 

  

26,602.27

  

 

 

  

5,321,782.74

  

Multi-Asset Balanced Opportunity

 

 

  

179,753,073.73

  

 

 

  

32,485,463.56

  

 

 

  

6,897,552.18

  

 

 

  

4,766.55

  

 

 

  

3,755,808.49

  

 

 

  

50,551.10

  

 

 

  

75,024.87

  

 

 

  

4,827,991.68

  

 

 

  

1,054,362.38

  

 

 

  

16,950.25

  

 

 

  

3,968,068.21

  

Multi-Asset Income

 

 

  

46,347,857.23

  

 

 

  

24,986,616.15

  

 

 

  

13,873,042.58

  

 

 

  

314,774.31

  

 

 

  

3,288,938.71

  

 

 

  

—

  

 

 

  

8,478.14

  

 

 

  

1,421,018.34

  

 

 

  

168,594.25

  

 

 

  

2,316.84

  

 

 

  

191,005.73

  

Short Duration Core Bond

 

 

  

773,736.68

  

 

 

  

191,486.44

  

 

 

  

641,117.74

  

 

 

  

160,467.63

  

 

 

  

13,914.50

  

 

 

  

—

  

 

 

  

2,637.36

  

 

 

  

7,302.40

  

 

 

  

2,656.80

  

 

 

  

2,670.65

  

 

 

  

204,922.36

  

Short Duration Income

 

 

  

2,307,210,778.33

  

 

 

  

1,139,517,412.24

  

 

 

  

4,828,229,041.66

  

 

 

  

939,444,174.37

  

 

 

  

2,183,492,398.96

  

 

 

  

—

  

 

 

  

4,783,718.30

  

 

 

  

82,133,143.14

  

 

 

  

31,087,290.62

  

 

 

  

15,214,842.94

  

 

 

  

183,999,409.48

  

Total Return

 

 

  

118,787,305.83

  

 

 

  

11,732,917.56

  

 

 

  

92,195,980.47

  

 

 

  

58,975,947.75

  

 

 

  

39,851,425.43

  

 

 

  

60,028.67

  

 

 

  

449,682.88

  

 

 

  

9,891,534.31

  

 

 

  

6,445,802.94

  

 

 

  

11,562,600.69

  

 

 

  

29,104,159.82

  

Ultra Short Bond

 

 

  

886,205,555.47

  

 

 

  

—

  

 

 

  

635,893,674.08

  

 

 

  

25,523,915.40

  

 

 

  

156,390,991.87

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

245,740.26

  

 

 

  

514,359.73

  

Mid Cap Stock

 

 

  

36,694,383.67

  

 

 

  

2,443,395.18

  

 

 

  

5,654,869.60

  

 

 

  

862,298.46

  

 

 

  

16,013,826.29

  

 

 

  

1,660,293.11

  

 

 

  

119,618.58

  

 

 

  

1,019,204.94

  

 

 

  

660,394.98

  

 

 

  

174,766.05

  

 

 

  

894,823.13

  

Municipal Income Fund

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

CA Tax Free

 

 

  

21,063,631.66

  

 

 

  

3,198,771.52

  

 

 

  

5,606,219.97

  

 

 

  

612,222.55

  

 

 

  

2,304,022.88

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

High Yield Municipal Bond

 

 

  

120,149,899.75

  

 

 

  

27,076,136.75

  

 

 

  

61,566,341.25

  

 

 

  

1,776,319.47

  

 

 

  

17,209,705.27

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

Intermediate Tax Free

 

 

  

141,768,357.08

  

 

 

  

36,161,023.41

  

 

 

  

159,030,298.54

  

 

 

  

3,047,709.70

  

 

 

  

55,581,996.52

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

National Tax Free

 

 

  

155,491,096.75

  

 

 

  

13,433,388.19

  

 

 

  

42,750,535.37

  

 

 

  

3,554,361.17

  

 

 

  

8,391,830.04

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

NJ Tax Free

 

 

  

18,118,224.41

  

 

 

  

—

  

 

 

  

3,420,497.60

  

 

 

  

60,030.37

  

 

 

  

443,499.33

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

NY Tax Free

 

 

  

25,259,620.95

  

 

 

  

3,513,974.37

  

 

 

  

4,054,344.92

  

 

 

  

89,956.17

  

 

 

  

1,070,818.90

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

Short Duration High Yield Municipal Bond

 

 

  

9,855,511.04

  

 

 

  

728,222.19

  

 

 

  

8,955,529.83

  

 

 

  

381,336.43

  

 

 

  

3,721,368.13

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

Short Duration Tax Free

 

 

  

37,721,127.38

  

 

 

  

6,168,962.46

  

 

 

  

34,578,568.65

  

 

 

  

2,214,271.46

  

 

 

  

6,815,930.61

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

Research Fund

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Calibrated Dividend Growth

 

 

  

106,411,755.50

  

 

 

  

14,567,995.37

  

 

 

  

16,973,186.35

  

 

 

  

12,386,654.97

  

 

 

  

2,588,154.06

  

 

 

  

60,980.35

  

 

 

  

61,301.69

  

 

 

  

984,180.36

  

 

 

  

334,077.56

  

 

 

  

14,696.06

  

 

 

  

749,209.30

  

Growth Opportunities

 

 

  

15,812,007.33

  

 

 

  

1,650,549.20

  

 

 

  

872,921.37

  

 

 

  

276,404.12

  

 

 

  

15,480,387.06

  

 

 

  

136,425.75

  

 

 

  

35,977.80

  

 

 

  

751,330.47

  

 

 

  

45,322.21

  

 

 

  

3,072.53

  

 

 

  

223,852.70

  

Small Cap Value

 

 

  

17,287,649.21

  

 

 

  

1,274,325.67

  

 

 

  

626,076.12

  

 

 

  

1,464,059.02

  

 

 

  

20,039,232.07

  

 

 

  

1,483,807.00

  

 

 

  

52,342.88

  

 

 

  

369,115.99

  

 

 

  

147,259.74

  

 

 

  

640.00

  

 

 

  

793,104.38

  

K-1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fund

  

Class A

  

Class C

  

Class F

  

Class F3

  

Class I

  

Class P

  

Class R2

  

Class R3

  

Class R4

  

Class R5

  

Class R6

Securities Trust

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Alpha Strategy

 

 

  

20,723,184.45

  

 

 

  

5,933,291.11

  

 

 

  

7,574,347.94

  

 

 

  

1,364,341.12

  

 

 

  

3,359,385.59

  

 

 

  

—

  

 

 

  

74,248.69

  

 

 

  

1,211,721.79

  

 

 

  

153,484.53

  

 

 

  

11,563.95

  

 

 

  

170,386.90

  

Focused Growth

 

 

  

151,658.84

  

 

 

  

7,334.33

  

 

 

  

46,555.89

  

 

 

  

33,334.33

  

 

 

  

108,738.65

  

 

 

  

—

  

 

 

  

—

  

 

 

  

667.67

  

 

 

  

667.67

  

 

 

  

667.67

  

 

 

  

89,133.80

  

Focused Small Cap Value

 

 

  

229,279.49

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

4,337,957.78

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

Fundamental Equity

 

 

  

115,384,867.79

  

 

 

  

17,798,139.03

  

 

 

  

15,801,612.37

  

 

 

  

1,752,488.66

  

 

 

  

46,328,934.26

  

 

 

  

416,090.11

  

 

 

  

405,909.30

  

 

 

  

8,666,650.82

  

 

 

  

437,982.40

  

 

 

  

118,005.36

  

 

 

  

1,814,370.91

  

Global Equity Research

 

 

  

301,429.24

  

 

 

  

51,996.33

  

 

 

  

115,736.43

  

 

 

  

1,087.69

  

 

 

  

109,426.47

  

 

 

  

—

  

 

 

  

1,104.25

  

 

 

  

16,738.73

  

 

 

  

1,112.07

  

 

 

  

1,117.58

  

 

 

  

66,261.83

  

Global Select Equity

 

 

  

34,313.60

  

 

 

  

9,596.95

  

 

 

  

33,534.59

  

 

 

  

33,563.55

  

 

 

  

7,381.87

  

 

 

  

—

  

 

 

  

—

  

 

 

  

670.43

  

 

 

  

671.20

  

 

 

  

671.98

  

 

 

  

53,193.14

  

Growth Leaders

 

 

  

34,712,990.72

  

 

 

  

24,557,970.52

  

 

 

  

48,961,900.06

  

 

 

  

2,133,961.15

  

 

 

  

20,708,407.56

  

 

 

  

—

  

 

 

  

49,935.56

  

 

 

  

505,240.13

  

 

 

  

231,225.43

  

 

 

  

306,890.30

  

 

 

  

1,187,627.25

  

International Equity

 

 

  

14,488,963.85

  

 

 

  

900,006.41

  

 

 

  

4,150,244.64

  

 

 

  

361,151.83

  

 

 

  

16,140,121.06

  

 

 

  

3,297.63

  

 

 

  

33,419.10

  

 

 

  

625,176.91

  

 

 

  

87,082.75

  

 

 

  

5,654.85

  

 

 

  

211,356.43

  

International Value

 

 

  

38,568,252.40

  

 

 

  

5,403,283.02

  

 

 

  

5,887,857.21

  

 

 

  

3,693,072.73

  

 

 

  

33,896,206.30

  

 

 

  

—

  

 

 

  

59,646.85

  

 

 

  

1,045,795.05

  

 

 

  

4,972.57

  

 

 

  

1,707.98

  

 

 

  

220,650.77

  

International Opportunities

 

 

  

8,655,450.34

  

 

 

  

1,782,921.12

  

 

 

  

7,949,488.43

  

 

 

  

1,257,637.64

  

 

 

  

14,373,767.69

  

 

 

  

7,666.90

  

 

 

  

243,038.65

  

 

 

  

1,341,257.89

  

 

 

  

276,195.13

  

 

 

  

1,240,351.79

  

 

 

  

1,895,640.83

  

Micro Cap Growth

 

 

  

923,655.29

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

7,849,333.17

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

Value Opportunities

 

 

  

44,314,151.44

  

 

 

  

10,718,255.05

  

 

 

  

12,633,523.32

  

 

 

  

14,975,411.68

  

 

 

  

18,787,844.09

  

 

 

  

1,343,480.16

  

 

 

  

389,869.25

  

 

 

  

3,883,165.55

  

 

 

  

2,632,803.83

  

 

 

  

130,489.03

  

 

 

  

3,438,840.20

  

U.S. Government Money Market

 

 

  

330,646,187.89

  

 

 

  

19,403,041.32

  

 

 

  

—

  

 

 

  

—

  

 

 

  

12,641,426.29

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

  

—

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  

Class VC

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Series Fund

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Bond Debenture Portfolio

 

 

  

95,377,194.67

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Calibrated Dividend Growth Portfolio

 

 

  

11,237,299.22

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Classic Stock Portfolio

 

 

  

2,530,598.58

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Developing Growth Portfolio

 

 

  

2,230,966.79

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Fundamental Equity Portfolio

 

 

  

17,882,166.41

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Growth and Income Portfolio

 

 

  

16,700,518.44

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Growth Opportunities Portfolio

 

 

  

9,521,018.49

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

International Opportunities Portfolio

 

 

  

5,233,443.42

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Mid Cap Stock Portfolio

 

 

  

11,576,994.86

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Short Duration Income Portfolio

 

 

  

6,185,835.49

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Total Return Portfolio

 

 

  

35,252,314.42

  

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

  

 

 

K-2

 

Appendix L: Principal Shareholders

Table 1. Except as set forth below, to the knowledge of the applicable Fund, as of April 30, 2019, no person is a beneficial owner of more than five percent of the outstanding shares of any class of a Fund.

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

Affiliated

 

 

 

 

 

 

 

 

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

22,734,183

  

6.10%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

110,005,014

  

29.53%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

611,883

  

7.25%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

718,819

  

8.51%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

832,149

  

9.85%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

852,822

  

10.10%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

860,394

  

10.19%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,039,037

  

12.30%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,070,931

  

5.15%

CLASS F

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

1,468,739

  

7.06%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,533,744

  

7.37%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,573,170

  

7.56%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,814,563

  

8.72%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,851,060

  

8.90%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,697,044

  

12.96%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

2,862,556

  

13.76%

 

 

 

 

 

 

 

 

L-1

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

4,327,703

  

20.80%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

7,059,825

  

99.71%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

602,515

  

6.59%

CLASS I

 

 

  

MULTI-ASSET GROWTH INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,743,646

  

19.07%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,697,573

  

29.50%

CLASS I

 

 

  

ANB 400 & CO
PO BOX 1
AMARILLO TX 79105-0001

  

3,130,359

  

34.23%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

714,723

  

76.68%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

8,059

  

8.03%

CLASS R2

 

 

  

K MEASEL R MEASEL S MEASEL
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

23,870

  

23.78%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

27,040

  

26.94%

CLASS R2

 

 

  

PAI TRUST COMPANY, INC.
RIGGINS CO., L.C
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

39,662

  

39.51%

CLASS R3

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

212,552

  

7.37%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

974,041

  

33.78%

CLASS R4

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

37,451

  

6.66%

CLASS R4

 

 

  

FIIOC FBO C.E. TOLAND & SON
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

75,951

  

13.52%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

264,074

  

46.99%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

934

  

7.47%

CLASS R5

 

 

  

FIIOC FORE MACHINE SAFE HARBOR 401(K)
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

1,788

  

14.29%

 

 

 

 

 

 

 

 

L-2

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

4,820

  

38.52%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

4,971

  

39.73%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

430,360

  

23.76%

CLASS R6

 

 

  

TIAA
211 N BROADWAY STE 1000
SAINT LOUIS MO 63102-2748

  

437,430

  

24.15%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

630,299

  

34.79%

Alpha Strategy

 

 

 

 

 

 

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,130,123

  

5.37%

CLASS A

 

 

  

MLPF&S FOR THE SOLE BENEFIT
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,366,861

  

11.24%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

5,610,534

  

26.65%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

319,682

  

5.18%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

361,704

  

5.86%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

395,060

  

6.41%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

529,068

  

8.58%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

600,006

  

9.73%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

692,729

  

11.23%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

754,358

  

12.23%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

394,936

  

5.12%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

415,220

  

5.38%

CLASS F

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

437,619

  

5.67%

 

 

 

 

 

 

 

 

L-3

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

624,526

  

8.09%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

989,884

  

12.83%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,775,513

  

23.01%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,898,802

  

24.61%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,372,558

  

99.11%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

543,744

  

15.98%

CLASS I

 

 

  

THE DOW FOUNDATION
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

2,540,637

  

74.66%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

7,506

  

9.96%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

11,061

  

14.68%

CLASS R2

 

 

  

K MEASEL R MEASEL S MEASEL
TTEE 8515 E
ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

14,159

  

18.79%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

28,906

  

38.37%

CLASS R3

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

138,783

  

11.26%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

207,797

  

16.87%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
SOUTH & ASSOCIATES INC 401K PLAN
717 17TH ST STE 1300
DENVER CO 80202-3304

  

10,006

  

6.64%

CLASS R4

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

11,722

  

7.78%

CLASS R4

 

 

  

MATRIX TRUST COMPANY CUST FBO
UNITED CEREBRAL PALSY OF HUDSON
717 17TH ST STE 1300
DENVER CO 80202-3304

  

12,190

  

8.09%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

15,542

  

10.31%

 

 

 

 

 

 

 

 

L-4

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

ASCENSUS TRUST COMPANY
PO BOX 10758
FARGO ND 58106-0758

  

2,323

  

22.16%

CLASS R5

 

 

  

ASCENSUS TRUST COMPANY
PO BOX 10758
FARGO ND 58106-0758

  

6,980

  

66.58%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

8,723

  

5.18%

CLASS R6

 

 

  

MATRIX TRUST COMPANY TRUSTEE
PO BOX 52129
PHOENIX AZ 85072-2129

  

9,001

  

5.35%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

102,480

  

60.89%

Bond Debenture

 

 

 

 

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

31,217,779

  

5.33%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

32,543,143

  

5.55%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

35,448,114

  

6.05%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 4
JACKSONVILLE FL 32246-6484

  

35,569,929

  

6.07%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

50,236,548

  

8.57%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

216,328,225

  

36.91%

CLASS C

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

8,086,369

  

5.04%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

8,799,372

  

5.49%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

10,998,469

  

6.86%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

12,225,698

  

7.62%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

13,335,830

  

8.32%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

15,476,666

  

9.65%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

16,207,560

  

10.11%

 

 

 

 

 

 

 

 

L-5

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

17,730,660

  

11.06%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

32,622,960

  

20.35%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

38,095,389

  

6.91%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

44,236,179

  

8.03%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

48,150,327

  

8.74%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

50,145,626

  

9.10%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

61,638,384

  

11.19%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

74,043,546

  

13.44%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

74,381,140

  

13.50%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

115,735,800

  

21.00%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

220,459,201

  

98.43%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

13,647,210

  

10.31%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

31,772,839

  

24.01%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

59,039,009

  

44.61%

CLASS P

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

204,390

  

9.25%

CLASS P

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

218,927

  

9.91%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

1,538,619

  

69.65%

CLASS R2

 

 

  

PIMS/PRUDENTIAL RETIREMENT
NEW JERSEY GRAVEL AND SAND CO.,
PO BOX 1441
WALL NJ 07719-1441

  

83,113

  

9.75%

 

 

 

 

 

 

 

 

L-6

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R2

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

89,515

  

10.50%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

305,129

  

35.80%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

4,316,004

  

20.74%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

11,123,353

  

53.44%

CLASS R4

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

157,334

  

5.23%

CLASS R4

 

 

  

FIIOC FBO CREATIVE OFFICE PAVILION
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

212,741

  

7.07%

CLASS R4

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

296,656

  

9.86%

CLASS R4

 

 

  

JOHN HANCOCK LIFE INSURANCE
601 CONGRESS ST
BOSTON MA 02210-2805

  

487,492

  

16.20%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

757,577

  

25.18%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
C/O IPO PORTFOLIO ACCOUNTING
PO BOX 182029
COLUMBUS OH 43218-2029

  

317,097

  

7.43%

CLASS R5

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

336,739

  

7.89%

CLASS R5

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

2,865,925

  

67.14%

CLASS R6

 

 

  

RELIANCE TRUST COMPANY
PO BOX 28004
ATLANTA GA 30358-0004

  

874,156

  

5.55%

CLASS R6

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

1,006,969

  

6.39%

CLASS R6

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

1,062,564

  

6.75%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

1,211,301

  

7.69%

CLASS R6

 

 

  

WELLS FARGO BANK
FBO ST ALEXIUS MEDICAL CNTR RET PLN
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

1,420,705

  

9.02%

CLASS R6

 

 

  

STEAMFITTERS INDUSTRY WELFARE FUND
2708 40TH AVE
LONG ISLAND CITY NY 11101-3725

  

1,528,017

  

9.70%

 

 

 

 

 

 

 

 

L-7

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

3,082,457

  

19.57%

Calibrated Dividend Growth

 

 

 

 

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

67,125,549

  

62.47%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

929,872

  

6.21%

CLASS C

 

 

  

MLPF&S FOR THE SOLE BENEFIT
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,054,953

  

7.05%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,191,457

  

7.96%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,459,518

  

9.75%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,591,181

  

10.63%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,846,528

  

12.33%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,335,716

  

15.60%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

855,146

  

5.07%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,362,880

  

8.08%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,376,659

  

8.16%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,446,048

  

8.57%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,711,517

  

10.14%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,714,707

  

10.16%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,925,392

  

11.41%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

4,545,437

  

26.94%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

12,510,526

  

99.73%

 

 

 

 

 

 

 

 

L-8

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

371,916

  

14.70%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,608,005

  

63.57%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

83,825

  

98.46%

CLASS R2

 

 

  

CONTENTO ESAJIAN KIEREJCZYK & LONG
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

4,924

  

6.40%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

8,437

  

10.97%

CLASS R2

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

10,684

  

13.89%

CLASS R2

 

 

  

MATRIX TRUST COMPANY CUST. FBO
BUCKEYE TOOLS AND SUPPLY CO.,
717 17TH ST STE 1300
DENVER CO 80202-3304

  

15,651

  

20.35%

CLASS R2

 

 

  

PAI TRUST COMPANY, INC.
RIGGINS CO., L.C.
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

19,544

  

25.41%

CLASS R3

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

71,884

  

6.91%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

353,551

  

34.00%

CLASS R4

 

 

  

MATRIX TRUST COMPANY CUST.
717 17TH ST STE 1300
DENVER CO 80202-3304

  

19,894

  

6.17%

CLASS R4

 

 

  

FIIOC FBO C.E. TOLAND & SON
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

60,598

  

18.78%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

149,095

  

46.21%

CLASS R5

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

1,721

  

6.61%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

24,034

  

92.37%

CLASS R6

 

 

  

FIIOC
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

136,384

  

18.34%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

473,811

  

63.73%

L-9

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

California Tax Free

 

 

 

 

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,369,087

  

6.78%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,379,794

  

6.83%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,122,805

  

10.51%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

2,340,958

  

11.59%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

3,937,606

  

19.49%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

4,105,847

  

20.32%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

184,754

  

6.13%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

397,942

  

13.21%

CLASS C

 

 

  

MLPF&S FOR THE SOLE BENEFIT
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

495,374

  

16.44%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,251,487

  

41.54%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

518,161

  

10.40%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

638,102

  

12.81%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,149,480

  

23.07%

CLASS F

 

 

  

MLPF&S FOR THE SOLE BENEFIT
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,556,432

  

31.23%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

562,435

  

99.87%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

447,862

  

20.68%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,619,339

  

74.76%

Convertible

 

 

 

 

 

 

 

 

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

749,767

  

7.13%

 

 

 

 

 

 

 

 

L-10

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS A

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

802,455

  

7.63%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

909,867

  

8.65%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

981,713

  

9.33%

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

1,139,232

  

10.83%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,494,207

  

14.20%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,546,065

  

14.70%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

165,005

  

5.32%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

169,019

  

5.45%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

207,540

  

6.69%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

371,340

  

11.97%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

379,146

  

12.23%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

396,831

  

12.80%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

650,295

  

20.97%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

851,761

  

6.84%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,247,094

  

10.02%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,330,612

  

10.69%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,403,487

  

11.27%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,660,755

  

13.34%

 

 

 

 

 

 

 

 

L-11

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,345,943

  

18.84%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

2,664,046

  

21.40%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

518,101

  

100.00%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,930,899

  

6.85%

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,680,233

  

9.50%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

9,619,519

  

34.11%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

12,584,140

  

44.62%

CLASS P

 

 

  

DONNA L BERETSKY-NEIDECKER
25 OLIVE PL
LYNBROOK NY 11563-3338

  

1,404

  

28.80%

CLASS P

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

1,442

  

29.58%

CLASS P

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,012

  

41.26%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

960

  

16.98%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

992

  

17.55%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,369

  

24.22%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,331

  

41.22%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

627,242

  

89.06%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

347

  

6.05%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

350

  

6.09%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

353

  

6.14%

 

 

 

 

 

 

 

 

L-12

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

969

  

16.89%

CLASS R4

 

 

  

ASCENSUS TRUST COMPANY
PO BOX 10758
FARGO ND 58106-0758

  

3,458

  

60.24%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

11,445

  

99.76%

CLASS R6

 

 

  

RELIANCE TRUST CO TTEE
1100 ABERNATHY RD
ATLANTA GA 30328-5620

  

45,932

  

11.67%

CLASS R6

 

 

  

FIFTH THIRD BANK
38 FOUNTAIN SQUARE PLZ
CINCINNATI OH 45202-3191

  

49,025

  

12.45%

CLASS R6

 

 

  

FIFTH THIRD BANK
38 FOUNTAIN SQUARE PLZ
CINCINNATI OH 45202-3191

  

52,622

  

13.37%

CLASS R6

 

 

  

FIFTH THIRD BANK
38 FOUNTAIN SQUARE PLZ
CINCINNATI OH 45202-3191

  

64,407

  

16.36%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

107,156

  

27.22%

Core Fixed Income

 

 

 

 

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

30,809,862

  

76.98%

CLASS C

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

198,546

  

5.15%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

215,756

  

5.59%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

234,286

  

6.07%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

238,791

  

6.19%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

316,454

  

8.20%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

451,611

  

11.70%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,192,029

  

30.89%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

771,135

  

5.53%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

852,651

  

6.12%

 

 

 

 

 

 

 

 

L-13

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

930,810

  

6.68%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,113,152

  

7.98%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,888,221

  

13.54%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

2,251,971

  

16.15%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

4,875,842

  

34.97%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

23,520,969

  

99.78%

CLASS I

 

 

  

CAPINCO C/O US BANK NA
1555 N RIVERCENTER DR STE 302
MILWAUKEE WI 53212-3958

  

1,121,058

  

5.65%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,283,821

  

6.47%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

15,829,145

  

79.80%

CLASS P

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

10

  

100.00%

CLASS R2

 

 

  

MID ATLANTIC TRUST CO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

6,723

  

11.29%

CLASS R2

 

 

  

MARK F EISENBERG DDS TTEE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

9,025

  

15.16%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

20,099

  

33.75%

CLASS R2

 

 

  

CAPITAL BANK & TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

22,656

  

38.05%

CLASS R3

 

 

  

ASCENSUS TRUST CO FBO
PO BOX 10758
FARGO ND 58106-0758

  

64,818

  

5.67%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

109,774

  

9.60%

CLASS R3

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

451,711

  

39.48%

CLASS R4

 

 

  

FIIOC FBO C.E. TOLAND & SON
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

34,821

  

6.68%

 

 

 

 

 

 

 

 

L-14

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

95,784

  

18.39%

CLASS R4

 

 

  

JOHN HANCOCK LIFE INSURANCE CO USA
601 CONGRESS ST
BOSTON MA 02210-2805

  

301,598

  

57.90%

CLASS R5

 

 

  

LINCOLN RETIREMENT SERVICES CO.
PO BOX 7876
FORT WAYNE IN 46801-7876

  

10,691

  

9.91%

CLASS R5

 

 

  

CONVERGED TECH GROUP INC TTEE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

15,570

  

14.44%

CLASS R5

 

 

  

LINCOLN RETIREMENT SERVICES CO.
HOSPITAL 403B
PO BOX 7876
FORT WAYNE IN 46801-7876

  

22,812

  

21.15%

CLASS R5

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

25,572

  

23.71%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

29,073

  

26.96%

CLASS R6

 

 

  

STEAMFITTERS INDUSTRY SECURITY
2708 40TH AVE
LONG ISLAND CITY NY 11101-3725

  

3,841,266

  

91.48%

Core Plus Bond

 

 

 

 

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

43,913

  

5.97%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

47,422

  

6.44%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

159,599

  

21.69%

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

365,331

  

49.64%

CLASS C

 

 

  

JOAN F WOODS
1316 S 26TH ST
LA CROSSE WI 54601-6122

  

2,695

  

5.04%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

3,908

  

7.30%

CLASS C

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,391

  

13.81%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

29,463

  

55.05%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

211,019

  

9.25%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

353,379

  

15.48%

 

 

 

 

 

 

 

 

L-15

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

368,417

  

16.14%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,346,994

  

59.02%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

718

  

100.00%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,625

  

99.97%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,868

  

99.89%

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,874

  

97.74%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,890

  

99.89%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,906

  

99.89%

CLASS R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,912

  

99.89%

Corporate Bond

 

 

 

 

CLASS A

 

 

  

UMB BANK NA CUST
5494 E LAKE RD
HAMILTON NY 13346-3529

  

2,867

  

5.60%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

8,893

  

17.36%

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

32,599

  

63.62%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

3,775

  

13.89%

CLASS C

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,353

  

19.71%

CLASS C

 

 

  

1978 STRIN FAMILY TRUST B
4728 PARK ENCINO LN UNIT 317
ENCINO CA 91436-3270

  

16,990

  

62.54%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

72,471

  

30.74%

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

163,290

  

69.26%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

163,986

  

100.00%

 

 

 

 

 

 

 

 

L-16

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,454

  

34.96%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

10,146

  

65.04%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,695

  

100.00%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

804

  

15.49%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

1,659

  

31.97%

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,700

  

52.03%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,714

  

100.00%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,727

  

100.00%

CLASS R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

163,986

  

100.00%

Developing Growth

 

 

 

 

CLASS A

 

 

  

STATE STREET BANK AND TRUST
AS 1 LINCOLN ST
BOSTON MA 02111-2901

  

1,418,600

  

5.07%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,523,850

  

5.45%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,868,900

  

6.68%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

3,614,703

  

12.92%

CLASS C

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

90,960

  

6.51%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

97,967

  

7.02%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

147,264

  

10.55%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

174,217

  

12.48%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

200,353

  

14.35%

 

 

 

 

 

 

 

 

L-17

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

200,562

  

14.36%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

254,933

  

6.38%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

357,046

  

8.93%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

400,489

  

10.02%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

486,830

  

12.18%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

552,160

  

13.81%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,316,518

  

32.92%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

47,431

  

44.73%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

58,597

  

55.27%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

1,428,927

  

5.01%

CLASS I

 

 

  

TIAA, FSB CUST/TTEE FBO:
211 N BROADWAY STE 1000
SAINT LOUIS MO 63102-2748

  

1,735,659

  

6.09%

CLASS I

 

 

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

6,962,406

  

24.42%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

14,639,372

  

51.36%

CLASS P

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

50,646

  

5.38%

CLASS P

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

70,197

  

7.45%

CLASS P

 

 

  

AUL AMERICAN UNIT INVESTMENT TRUST
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

74,435

  

7.90%

CLASS P

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

84,972

  

9.02%

CLASS P

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

244,900

  

25.99%

 

 

 

 

 

 

 

 

L-18

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS P

 

 

  

RELIANCE TRUST CO FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

271,364

  

28.80%

CLASS R2

 

 

  

PIMS/PRUDENTIAL RETIREMENT
5851 LEGACY CIRCLE
SUITE 900
PLANO TX 75024-5982

  

15,557

  

7.36%

CLASS R2

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

23,248

  

11.00%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

50,209

  

23.75%

CLASS R2

 

 

  

PAI TRUST COMPANY, INC.
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

94,805

  

44.84%

CLASS R3

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

282,214

  

6.31%

CLASS R3

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

569,534

  

12.73%

CLASS R3

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

723,707

  

16.18%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

1,824,244

  

40.78%

CLASS R4

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

12,842

  

5.30%

CLASS R4

 

 

  

FIIOC FBO C.E. TOLAND & SON
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

22,899

  

9.45%

CLASS R4

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

59,555

  

24.57%

CLASS R4

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

115,679

  

47.72%

CLASS R5

 

 

  

DANIEL BRUNING
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

9,263

  

6.33%

CLASS R5

 

 

  

CAROLYN T DAVIS
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

11,429

  

7.81%

CLASS R5

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

13,938

  

9.52%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

94,067

  

64.26%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

467,145

  

6.04%

 

 

 

 

 

 

 

 

L-19

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

470,925

  

6.09%

CLASS R6

 

 

  

PIMS/PRUDENTIAL RETPLAN
P O BOX 1979
835 N RUSH ST
CHICAGO IL 60611-2030

  

471,334

  

6.10%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

1,981,338

  

25.63%

CLASS R6

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

2,371,560

  

30.68%

Emerging Markets Bond

 

 

 

 

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

122,769

  

5.52%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

219,763

  

9.87%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

637,457

  

28.64%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

18,381

  

5.78%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

18,704

  

5.88%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

21,999

  

6.91%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

31,661

  

9.95%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

43,918

  

13.80%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

63,804

  

20.06%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

52,242

  

6.23%

CLASS F

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

55,123

  

6.57%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

77,378

  

9.23%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

144,702

  

17.26%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

352,758

  

42.07%

 

 

 

 

 

 

 

 

L-20

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

101,705

  

100.00%

CLASS I

 

 

  

MULTI ASSET GLOBAL OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,728,298

  

8.60%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

13,484,552

  

42.52%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

15,344,284

  

48.39%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

5,961

  

37.24%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

10,045

  

62.75%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

3,971

  

7.37%

CLASS R3

 

 

  

MG TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

5,181

  

9.62%

CLASS R3

 

 

  

MATRIX TRUST COMPANY CUST. FBO
GORDON CONSTRUCTION CO INC
717 17TH ST STE 1300
DENVER CO 80202-3304

  

5,407

  

10.04%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

5,807

  

10.78%

CLASS R3

 

 

  

MATRIX TRUST COMPANY CUST. FBO
CRAMER DECKER INDUSTRIES 401K PLAN
717 17TH ST STE 1300
DENVER CO 80202-3304

  

6,897

  

12.80%

CLASS R3

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

12,517

  

23.24%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

710

  

5.56%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,166

  

16.97%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

2,204

  

17.26%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

2,683

  

21.02%

CLASS R4

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

2,947

  

23.09%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,192

  

99.98%

 

 

 

 

 

 

 

 

L-21

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

ASCENSUS TRUST COMPANY
PO BOX 10758
FARGO ND 58106-0758

  

3,952

  

5.74%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

63,820

  

92.74%

Emerging Markets Corporate Debt

 

 

 

 

CLASS A

 

 

  

DARIA L FOSTER
62 WEST 62ND ST PH
NEW YORK NY 10023-7000

  

43,551

  

6.41%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

46,518

  

6.85%

CLASS A

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

51,332

  

7.56%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

68,894

  

10.14%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

134,447

  

19.79%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

141,460

  

20.83%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

9,332

  

7.31%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

11,474

  

8.99%

CLASS C

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

14,607

  

11.45%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

16,347

  

12.81%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

55,896

  

43.80%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

325,606

  

19.22%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

576,062

  

34.01%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

601,105

  

35.48%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

723

  

100.00%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

24,180

  

10.97%

 

 

 

 

 

 

 

 

L-22

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

145,823

  

66.16%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

8,868

  

100.00%

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

8,870

  

99.46%

CLASS

 

 

  

LAURA TETLOW
1010 TURQUOISE ST STE 215
SAN DIEGO CA 92109-1266

  

244

  

23.20%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

797

  

75.68%

CLASS R5

 

 

  

GREAT-WEST TRUST COMPANY LLC FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

1,809

  

10.74%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

15,029

  

89.26%

CLASS R6

 

 

  

ASCENSUS TRUST COMPANY
PO BOX 10758
FARGO ND 58106-0758

  

390

  

5.47%

CLASS R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

809

  

11.35%

CLASS R6

 

 

  

ASCENSUS TRUST COMPANY
P.O. BOX 10758
FARGO ND 58106-0758

  

5,924

  

83.18%

Floating Rate

 

 

 

 

 

 

 

 

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

18,148,284

  

5.33%

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

20,957,813

  

6.16%

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

22,697,341

  

6.67%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

28,509,393

  

8.37%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

30,449,308

  

8.94%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

31,193,846

  

9.16%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

37,170,131

  

10.92%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

38,464,739

  

11.30%

 

 

 

 

 

 

 

 

L-23

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

43,499,933

  

12.78%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

9,678,105

  

5.91%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

14,943,190

  

9.12%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

14,959,248

  

9.13%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

24,411,630

  

14.90%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

25,435,564

  

15.53%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

28,643,659

  

17.48%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

40,480,273

  

6.87%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

46,114,758

  

7.83%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

47,349,389

  

8.04%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

52,485,990

  

8.91%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

53,844,518

  

9.14%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

71,416,073

  

12.12%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

81,493,013

  

13.83%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

147,276,615

  

24.99%

CLASS F3

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

1,990,146

  

8.56%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

5,941,647

  

25.57%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

15,092,458

  

64.94%

 

 

 

 

 

 

 

 

L-24

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

35,203,282

  

16.05%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

57,624,254

  

26.27%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

58,051,201

  

26.46%

CLASS R2

 

 

  

GARY FRIEDMAN TTEE FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

9,585

  

5.18%

CLASS R2

 

 

  

JEFFREY FRENCH TTEE FBO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

9,937

  

5.37%

CLASS R2

 

 

  

GREAT-WEST TRUST CO LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

14,720

  

7.96%

CLASS R2

 

 

  

CAPITAL BANK & TRUST COMPANY
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

15,560

  

8.41%

CLASS R2

 

 

  

ASCENSUS TRUST CO
PO BOX 10758
FARGO ND 58106-0758

  

34,352

  

18.58%

CLASS R2

 

 

  

MATRIX TRUST COMPANY 40
35 IRON POINT CIR STE 300
FOLSOM CA 95630-8589

  

48,158

  

26.04%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

4,866,410

  

79.15%

CLASS R4

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

152,513

  

8.04%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

175,883

  

9.27%

CLASS R4

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

385,088

  

20.30%

CLASS R4

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

785,954

  

41.43%

CLASS R5

 

 

  

FIIOC FBO MANAGEMENT CONCEPTS, INC.
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

76,363

  

10.01%

CLASS R5

 

 

  

JOHN HANCOCK TRUST COMPANY LLC
690 CANTON ST STE 100
WESTWOOD MA 02090-2324

  

81,188

  

10.65%

CLASS R5

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

81,823

  

10.73%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

183,180

  

24.02%

 

 

 

 

 

 

 

 

L-25

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

187,148

  

24.54%

CLASS R6

 

 

  

STEAMFITTERS INDUSTRY WELFARE FUND
2708 40TH AVE
LONG ISLAND CITY NY 11101-3725

  

1,254,881

  

12.17%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

1,528,989

  

14.83%

CLASS R6

 

 

  

WELLS FARGO BANK NA FBO
PO BOX 1533
MINNEAPOLIS MN 55480-1533

  

4,017,902

  

38.97%

Focused Growth

 

 

 

 

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

10,748

  

7.63%

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

16,667

  

11.83%

CLASS A

 

 

  

LAWRENCE B STOLLER
c/o LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

25,575

  

18.16%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

28,114

  

19.96%

CLASS A

 

 

  

KARLA M RABUSCH TR
1325 FILBERT ST
SAN FRANCISCO CA 94109-1723

  

38,243

  

27.15%

CLASS C

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,333

  

100.00%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,397

  

6.43%

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,333

  

89.39%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,333

  

100.00%

CLASS I

 

 

  

TD AMERITRADE FBO
410 LAKE RD
FAR HILLS NJ 07931-2316

  

5,653

  

5.27%

CLASS I

 

 

  

TD AMERITRADE
25 YUMA TRL
OAK RIDGE NJ 07438-9320

  

5,843

  

5.45%

CLASS I

 

 

  

TD AMERITRADE FBO
149 BRANDON CT
BRANCHBURG NJ 08853-4230

  

6,548

  

6.11%

CLASS I

 

 

  

TD AMERITRADE
8 POPPYS CT
COLUMBIA NJ 07832-2400

  

6,561

  

6.12%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,333

  

6.84%

 

 

 

 

 

 

 

 

L-26

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

667

  

100.00%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

667

  

100.00%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

667

  

100.00%

CLASS R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,333

  

42.30%

CLASS R6

 

 

  

MLPF&S FOR THE SOLE BENEFIT
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

45,476

  

57.70%

Focused Small Cap Value

 

 

 

 

 

 

CLASS A

 

 

  

ROBERT S DOW &
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

111,335.674

  

47.93%

CLASS I

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

238,304.242

  

5.47%

CLASS I

 

 

  

THE DOW FOUNDATION
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

596,491.479

  

13.69%

CLASS I

 

 

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

3,521,105.129

  

80.84%

Fundamental Equity

 

 

 

 

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

6,320,776

  

5.35%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

53,621,958

  

45.35%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,128,31 1

  

6.06%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,185,859

  

6.37%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,196,791

  

6.43%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,332,300

  

7.16%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,364,702

  

7.33%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,982,034

  

10.65%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,160,939

  

11.61%

 

 

 

 

 

 

 

 

L-27

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

3,051,675

  

16.39%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

982,791

  

5.89%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

1,333,066

  

7.99%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,382,006

  

8.29%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,629,719

  

9.77%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,858,937

  

11.14%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

3,402,486

  

20.40%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

3,692,686

  

22.14%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,758,585

  

97.05%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

4,504,417

  

11.50%

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

10,368,858

  

26.47%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

16,282,407

  

41.57%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

358,642

  

85.68%

CLASS R2

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

28,922

  

6.91%

CLASS R2

 

 

  

MASSACHUSETTS MUTUAL INSURANCE COM
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

57,358

  

13.70%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

80,131

  

19.13%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

149,805

  

35.77%

CLASS R3

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

735,858

  

8.24%

 

 

 

 

 

 

 

 

L-28

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE COMPANY
PO BOX 5051
HARTFORD CT 06102-5051

  

5,052,325

  

56.56%

CLASS R4

 

 

  

RELIANCE TRUST COMPANY FBO
PO BOX 28004
ATLANTA GA 30358-0004

  

66,980

  

14.45%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

122,869

  

26.51%

CLASS R4

 

 

  

MASSACHUSETTS MUTUAL INSURANCE COM
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

147,286

  

31.78%

CLASS R5

 

 

  

FIIOC FBO
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

7,385

  

7.71%

CLASS R5

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

7,742

  

8.09%

CLASS R5

 

 

  

FIIOC FBO LIPSON, NEILSON, COLE, SELTZER & GARIN, P.C. 401(K) PLAN AND TRUST
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

8,962

  

9.36%

CLASS R5

 

 

  

FIIOC FBO
PARKHOUSE TIRE SERVICE INC
401K PLAN AND TRUST
100 MAGELLAN WAY (KWIC)
COVINGTON KY 41015-1987

  

9,226

  

9.64%

CLASS R5

 

 

  

STATE STREET BANK AND TRUST
AS TRUSTEE AND/OR CUST FBO ADP ACCESS PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901

  

14,500

  

15.14%

CLASS R5

 

 

  

FIIOC
GALVAN INDUSTRIES INC PS 401K PLAN
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

16,784

  

17.53%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

28,800

  

30.08%

CLASS R6

 

 

  

GREAT-WEST TRUST FBO RTC TTEE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

112,377

  

5.55%

CLASS R6

 

 

  

PIMS/PRUDENTIAL RETPLAN
8441 GULF FWY
HOUSTON TX 77017-5000

  

212,581

  

10.50%

CLASS R6

 

 

  

SEIZ P C 401(K) P/S PLAN FIIOC FBO
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

372,780

  

18.41%

CLASS R6

 

 

  

U S BANK FBO
1555 N RIVERCENTER DR STE 302
MILWAUKEE WI 53212-3958

  

403,228

  

19.92%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

613,865

  

30.32%

 

 

 

 

 

 

 

 

L-29

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

Global Bond

 

 

 

 

 

 

 

 

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

205,225

  

99.39%

CLASS C

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

25,498

  

97.48%

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

205,537

  

100.00%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

154,293

  

100.00%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

205,537

  

100.00%

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

25,595

  

100.00%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

25,643

  

100.00%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

25,692

  

100.00%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

13,695

  

8.15%

CLASS R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

154,292

  

91.85%

Global Equity Research

 

 

 

 

CLASS A

 

 

  

ERIC D SIEGEL & ELYSSA J SIEGEL TR
3985 OAK AVE
NORTHBROOK IL 60062-4922

  

22,462

  

6.96%

CLASS A

 

 

  

DARIA L FOSTER
62 WEST 62ND ST PH
NEW YORK NY 10023-7000

  

27,878

  

8.64%

CLASS A

 

 

  

DOUGLAS B SIEG
C/O LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

49,187

  

15.24%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

53,482

  

16.58%

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

108,955

  

33.77%

CLASS C

 

 

  

CATHERINE A STEHLE CUST
52 NELSON ST
FARMINGDALE NY 11735-4226

  

2,501

  

5.03%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

29,855

  

59.99%

 

 

 

 

 

 

 

 

L-30

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

109,207

  

94.26%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,086

  

100.00%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

109,425

  

100.00%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,103

  

100.00%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

1,372

  

8.24%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

15,293

  

91.76%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,111

  

100.00%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,116

  

100.00%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

76,644

  

100.00%

Global Select Equity

 

 

 

 

CLASS A

 

 

  

DOUGLAS B SIEG
C/O LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

16,561

  

48.28%

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

16,760

  

48.86%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

930

  

10.88%

CLASS C

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,346

  

85.91%

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,533

  

100.00%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,562

  

100.00%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,380

  

100.00%

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

669

  

100.00%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

670

  

100.00%

 

 

 

 

 

 

 

 

L-31

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

670

  

100.00%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

19,628

  

36.90%

Class R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,562

  

63.10%

Growth Leaders Fund

 

 

 

 

 

 

CLASS A

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

2,012,560

  

5.79%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,377,209

  

6.84%

CLASS A

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

2,846,186

  

8.19%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

3,328,338

  

9.58%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC 2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

3,385,736

  

9.74%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

5,331,346

  

15.34%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,402,273

  

5.65%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,555,412

  

6.27%

CLASS C

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,664,180

  

6.71%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,668,387

  

6.73%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,069,611

  

8.35%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,159,175

  

8.71%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

3,883,498

  

15.66%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

5,102,890

  

20.58%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,656,840

  

5.47%

 

 

 

 

 

 

 

 

L-32

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

4,222,417

  

8.69%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

5,453,497

  

11.22%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

5,553,061

  

11.42%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

5,696,019

  

11.72%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

6,431,783

  

13.23%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

6,708,947

  

13.80%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

7,264,936

  

14.95%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

176,637

  

8.94%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,726,644

  

87.34%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

1,084,726

  

5.34%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,175,945

  

5.79%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,390,667

  

11.78%

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

3,580,346

  

17.64%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

4,554,079

  

22.43%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

5,836,585

  

28.75%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

3,396

  

6.89%

CLASS R2

 

 

  

STIFEL NICOLAUS & CO INC
501 N BROADWAY
SAINT LOUIS MO 63102-2137

  

3,731

  

7.56%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

31,160

  

63.17%

 

 

 

 

 

 

 

 

L-33

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R3

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

34,797

  

6.61%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

145,157

  

62.40%

CLASS R5

 

 

  

GREAT-WEST TRUST COMPANY LLC FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

19,162

  

5.94%

CLASS R5

 

 

  

AUL AMERICAN UNIT INVESTMENT TRUST
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

21,218

  

6.58%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

69,389

  

21.52%

CLASS R5

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

203,664

  

63.16%

CLASS R6

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

62,855

  

5.59%

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

118,160

  

10.52%

CLASS R6

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

233,315

  

20.76%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

569,418

  

50.67%

Growth Opportunities

 

 

 

 

 

 

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

6,866,296

  

43.38%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

207,835

  

12.49%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

226,607

  

13.62%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

49,205

  

5.58%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

53,550

  

6.07%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

54,590

  

6.19%

CLASS F

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

74,517

  

8.45%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

77,372

  

8.77%

 

 

 

 

 

 

 

 

L-34

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

101,768

  

11.53%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

176,673

  

20.02%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

215,463

  

24.42%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

271,377

  

99.72%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

3,185,680

  

20.74%

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,211,498

  

33.92%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY 90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

6,360,078

  

41.40%

CLASS P

 

 

  

AUL AMERICAN UNIT INVESTMENT TRUST
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

7,843

  

5.61%

CLASS P

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

46,943

  

33.55%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

84,506

  

60.40%

CLASS R2

 

 

  

MASSACHUSETTS MUTUAL INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

2,103

  

5.70%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

2,153

  

5.83%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

3,396

  

9.20%

CLASS R2

 

 

  

K MEASEL R MEASEL S MEASEL
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

3,636

  

9.85%

CLASS R2

 

 

  

RELIANCE TRUST CO
PO BOX 28004
ATLANTA GA 30358-0004

  

6,935

  

18.78%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

15,307

  

41.45%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

232,842

  

29.47%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

2,232

  

5.10%

 

 

 

 

 

 

 

 

L-35

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R4

 

 

  

MASSACHUSETTS MUTUAL LIFE INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

3,708

  

8.47%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

7,789

  

17.80%

CLASS R4

 

 

  

PAI TRUST COMPANY, INC.
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

8,795

  

20.09%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

537

  

17.40%

CLASS R5

 

 

  

FIIOC FBO PETERS’, INC.
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

2,489

  

80.55%

CLASS R6

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

17,092

  

7.60%

CLASS R6

 

 

  

MASSACHUSETTS MUTUAL LIFE INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

39,581

  

17.59%

CLASS R56

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

132,815

  

59.03%

High Yield

 

 

 

 

 

 

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

8,448,640

  

5.31%

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

8,745,718

  

5.49%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

11,141,710

  

7.00%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

12,423,656

  

7.80%

CLASS A

 

 

  

CHARLES SCHWAB & CO
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

18,813,225

  

11.82%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

21,301,471

  

13.38%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

22,469,907

  

14.12%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

3,454,484

  

6.37%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

3,803,263

  

7.01%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

3,884,924

  

7.16%

 

 

 

 

 

 

 

 

L-36

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

4,365,475

  

8.05%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

4,712,998

  

8.69%

CLASS C

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

5,137,494

  

9.47%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

5,406,329

  

9.96%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

12,103,558

  

22.31%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

17,360,803

  

5.97%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

17,928,379

  

6.16%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

18,683,465

  

6.42%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

19,847,503

  

6.82%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

26,642,799

  

9.16%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

32,788,008

  

11.27%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

50,186,798

  

17.25%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

80,442,457

  

27.65%

CLASS F3

 

 

  

CAPINCO C/O US BANK NA
1555 N RIVERCENTER DR STE 302
MILWAUKEE WI 53212-3958

  

4,123,544

  

5.86%

CLASS F3

 

 

  

THE BLUE CROSS & BLUE SHIELD OF
FLORIDA FOUNDATION INC
4800 DEERWOOD CAMPUS PKWY
JACKSONVILLE FL 32246-8273

  

4,665,755

  

6.63%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

60,551,982

  

85.99%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

11,456,312

  

5.27%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

25,681,343

  

11.82%

 

 

 

 

 

 

 

 

L-37

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

26,282,130

  

12.10%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

30,453,449

  

14.02%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

31,265,893

  

14.39%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

31,391,399

  

14.45%

High Yield Municipal Bond

 

 

 

 

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

5,625,682

  

5.04%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

6,907,270

  

6.19%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

9,837,721

  

8.82%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

11,597,832

  

10.39%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

11,794,563

  

10.57%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

35,226,889

  

31.57%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,308,816

  

5.02%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,483,271

  

5.69%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

2,442,447

  

9.37%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

2,614,660

  

10.03%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

4,430,390

  

17.00%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

6,424,693

  

24.65%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

3,153,671

  

5.83%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

3,781,132

  

6.99%

 

 

 

 

 

 

 

 

L-38

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

5,096,943

  

9.42%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

5,158,272

  

9.53%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

7,694,108

  

14.22%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

7,709,988

  

14.25%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

14,314,536

  

26.45%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

144,043

  

10.23%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,260,555

  

89.49%

CLASS I

 

 

  

C/O UNION BANK ID 797
1 FREEDOM VALLEY DR
OAKS PA 19456-9989

  

1,212,859

  

8.46%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

1,402,714

  

9.78%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,413,987

  

16.83%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

7,431,476

  

51.82%

CLASS P

 

 

  

ASCENSUS TRUST CO
690558
PO BOX 10758
FARGO ND 58106-0758

  

1,851

  

21.57%

CLASS P

 

 

  

RELIANCE TRUST CO
PO BOX 28004
ATLANTA GA 30358-0004

  

6,725

  

78.33%

CLASS R2

 

 

  

COMERICA BANK
P.O. BOX 75000 MAIL CODE 3446
DETROIT MI 48275-0001

  

210,194

  

11.33%

CLASS R2

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

378,359

  

20.40%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

546,153

  

29.44%

CLASS R3

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

1,408,701

  

9.34%

CLASS R3

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

1,474,543

  

9.77%

 

 

 

 

 

 

 

 

L-39

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

6,240,940

  

41.37%

CLASS R4

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

776,844

  

5.58%

CLASS R4

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

782,695

  

5.62%

CLASS R4

 

 

  

VOYA INSTITUTIONAL TRUST
PO BOX 3507
LITTLE ROCK AR 72203-3507

  

1,016,709

  

7.30%

CLASS R4

 

 

  

JOHN HANCOCK LIFE INSURANCE CO USA
601 CONGRESS ST
BOSTON MA 02210-2805

  

1,100,593

  

7.90%

CLASS R4

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

1,137,984

  

8.17%

CLASS R4

 

 

  

GREAT-WEST TRUST COMPANY LLC FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

1,286,879

  

9.24%

CLASS R4

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

1,322,959

  

9.50%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

3,476,965

  

24.96%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

1,838,424

  

5.06%

CLASS R5

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

2,424,889

  

6.68%

CLASS R5

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

11,662,543

  

32.12%

CLASS R5

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

12,981,921

  

35.75%

CLASS R6

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

3,947,805

  

5.19%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

4,790,557

  

6.30%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

4,804,495

  

6.31%

CLASS R6

 

 

  

DEFAULT OPERAATTNM
500 GRANT ST RM 151-1010
PITTSBURGH PA 15219-2502

  

5,089,430

  

6.69%

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

5,281,712

  

6.94%

 

 

 

 

 

 

 

 

L-40

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

8,024,348

  

10.55%

CLASS R6

 

 

  

DEFAULT OPERAATTNM
500 GRANT ST RM 151-1010
PITTSBURGH PA 15219-2502

  

8,165,119

  

10.73%

Income

 

 

 

 

 

 

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

16,104,998

  

5.04%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

17,874,386

  

5.59%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

17,940,258

  

5.61%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

21,116,801

  

6.61%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

23,951,516

  

7.49%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

121,142,386

  

37.90%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

3,037,991

  

5.14%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

3,610,959

  

6.11%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

4,183,636

  

7.08%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

5,807,928

  

9.83%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

5,990,126

  

10.14%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

6,060,959

  

10.26%

CLASS C

 

 

  

EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

6,612,189

  

11.19%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

12,195,569

  

20.64%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

10,814,079

  

6.30%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

11,724,704

  

6.84%

 

 

 

 

 

 

 

 

L-41

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

13,970,618

  

8.15%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

15,845,398

  

9.24%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

20,769,611

  

12.11%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

22,761,224

  

13.27%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

56,791,782

  

33.11%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

159,043,929

  

99.46%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

12,215,003

  

20.84%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

12,222,197

  

20.86%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

21,773,601

  

37.15%

CLASS R2

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

152,451

  

27.94%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

198,023

  

36.30%

CLASS R3

 

 

  

PIMS/PRUDENTIAL RETPLAN
280 TRUMBULL ST
HARTFORD CT 06103-3509

  

1,031,993

  

5.73%

CLASS R3

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

1,069,268

  

5.93%

CLASS R3

 

 

  

PIMS/PRUDENTIAL RETPLAN
280 TRUMBULL ST
HARTFORD CT 06103-3509

  

4,129,979

  

22.92%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

7,076,377

  

39.27%

CLASS R4

 

 

  

FIIOC
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

161,129

  

7.00%

CLASS R4

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

433,374

  

18.82%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,354,714

  

58.85%

 

 

 

 

 

 

 

 

L-42

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

FIIOC FBO
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

143,485

  

8.29%

CLASS R5

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,448,842

  

83.75%

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

799,025

  

5.55%

CLASS R6

 

 

  

VOYA INSTITUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

1,332,704

  

9.26%

CLASS R6

 

 

  

ASCENSUS TRUST CO
PO BOX 10758 FARGO ND 58106-0758

  

2,923,082

  

20.32%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

6,891,370

  

47.90%

Inflation Focused

 

 

 

 

 

 

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

736,200

  

6.10%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,164,486

  

9.65%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,179,593

  

9.77%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,305,583

  

10.82%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,319,793

  

10.93%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,908,757

  

15.81%

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

2,146,654

  

17.78%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

295,633

  

8.50%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

349,999

  

10.06%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

450,577

  

12.95%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

471,954

  

13.57%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

495,132

  

14.23%

 

 

 

 

 

 

 

 

L-43

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

707,116

  

20.33%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,337,282

  

7.49%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

2,520,910

  

8.08%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,570,437

  

8.24%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

3,588,509

  

11.50%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ
FL 12 NEW YORK NY 10004-1965

  

4,302,629

  

13.79%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

4,926,208

  

15.79%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

8,464,954

  

27.14%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

315,298

  

18.80%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,354,324

  

80.77%

CLASS I

 

 

  

PROASSURANCE CASUALTY COMPANY
100 BROOKWOOD PL
BIRMINGHAM AL 35209-6811

  

2,778,315

  

5.15%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,882,504

  

5.35%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

6,222,622

  

11.54%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,653,961

  

14.20%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

8,348,502

  

15.49%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

20,358,716

  

37.77%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

13,077

  

99.96%

CLASS R3

 

 

  

MATRIX TRUST COMPANY CUST FBO
HAWK SALES
717 17TH ST STE 1300
DENVER CO 80202-3304

  

567

  

6.51%

 

 

 

 

 

 

 

 

L-44

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

721

  

8.29%

CLASS R3

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

2,128

  

24.43%

CLASS R3

 

 

  

ASCENSUS TRUST CO FBO 151
PO BOX 10758 FARGO ND 58106-0758

  

4,581

  

52.59%

CLASS R4

 

 

  

GREAT-WEST TRUST COMPANY LLC FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

38,011

  

18.05%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

168,280

  

79.92%

CLASS R5

 

 

  

MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

1,473

  

7.21%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

1,989

  

9.74%

CLASS R5

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

7,901

  

38.69%

CLASS R5

 

 

  

MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

8,619

  

42.20%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

265,346

  

5.03%

CLASS R6

 

 

  

MAC & CO
500 GRANT ST RM 151-1010
PITTSBURGH PA 15219-2502

  

806,066

  

15.27%

CLASS R6

 

 

  

MAC & CO.
500 GRANT ST RM 151-1010
PITTSBURGH PA 15219-2502

  

1,159,771

  

21.97%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

2,567,213

  

48.63%

Intermediate Tax Free

 

 

 

 

 

 

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

8,185,505

  

5.88%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

8,318,040

  

5.98%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

9,138,299

  

6.57%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

11,970,823

  

8.61%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

17,042,900

  

12.25%

 

 

 

 

 

 

 

 

L-45

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

22,089,262

  

15.88%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

36,074,846

  

25.94%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

2,560,660

  

6.99%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,980,117

  

8.14%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

3,154,186

  

8.61%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

6,705,422

  

18.31%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

11,959,682

  

32.65%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

8,521,662

  

5.46%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

10,820,236

  

6.94%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

26,900,489

  

17.24%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

28,587,362

  

18.33%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

58,230,506

  

37.33%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

2,674,844

  

97.24%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

3,578,677

  

6.80%

CLASS I

 

 

  

VALLEE & CO FBO FCB
480 PILGRIM WAY, SUITE 1000
GREEN BAY WI 54304-5280

  

5,417,066

  

10.30%

CLASS I

 

 

  

CHARLES SCHWAB & CO
INC 211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

7,653,137

  

14.55%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

12,131,894

  

23.06%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

13,456,566

  

25.57%

L-46

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

International Equity

 

 

 

 

 

 

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

9,068,227

  

61.28%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

67,304

  

7.02%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

91,811

  

9.57%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

112,927

  

11.78%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

382,595

  

9.06%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

3,401,550

  

80.56%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

370,310

  

99.95%

CLASS I

 

 

  

MULTI-ASSET GLOBAL OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,072,521

  

9.95%

CLASS I

 

 

  

MULTI-ASSET INCOME
STRATEGY FUND
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,786,759

  

27.77%

CLASS I

 

 

  

MULTI-ASSET GROWTH
STRATEGY FUND
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

6,299,769

  

30.23%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

6,431,149

  

30.86%

CLASS P

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

542

  

16.36%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

2,462

  

74.27%

CLASS R2

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

2,177

  

6.69%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

4,351

  

13.38%

CLASS R2

 

 

  

PAI TRUST COMPANY, INC.
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

6,100

  

18.76%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

19,887

  

61.16%

 

 

 

 

 

 

 

 

L-47

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R3

 

 

  

CAPITAL BANK & TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

35,438

  

5.17%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

228,172

  

33.32%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

4,698

  

5.39%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

4,874

  

5.59%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

5,144

  

5.90%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

11,039

  

12.66%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

829

  

14.27%

CLASS R5

 

 

  

GREAT-WEST TRUST COMPANY LLC
FBO 8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

2,363

  

40.66%

CLASS R5

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

2,620

  

45.07%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

203,672

  

95.83%

International Opportunities

 

 

 

 

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

552,103

  

6.12%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

562,284

  

6.23%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

564,294.777

  

6.25%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

645,923

  

7.16%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

2,972,599

  

32.95%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

98,755

  

5.08%

CLASS C

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

110,795

  

5.70%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

130,775

  

6.73%

 

 

 

 

 

 

 

 

L-48

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

135,213

  

6.96%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

137,806

  

7.09%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

194,711

  

10.02%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

219,495

  

11.30%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

257,855

  

13.27%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

563,472

  

6.70%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

731,639

  

8.70%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

740,621

  

8.81%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

922,687

  

10.98%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,019,402

  

12.13%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,128,158

  

13.42%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,222,032

  

14.54%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,423,754

  

16.94%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

117,137

  

8.93%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,194,345

  

91.01%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,280,219

  

8.88%

CLASS I

 

 

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

11,956,624

  

82.96%

CLASS P

 

 

  

CAPTITAL BANK & TRUST COPMANY
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

771

  

10.10%

 

 

 

 

 

 

 

 

L-49

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS P

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

6,848

  

89.72%

CLASS R2

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

16,484

  

6.78%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

32,317

  

13.29%

CLASS R2

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE COMPANY
PO BOX 5051
HARTFORD CT 06102-5051

  

81,418

  

33.49%

CLASS R2

 

 

  

MASSACHUSETTS MUTUAL INSURANCE COM
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

86,886

  

35.74%

CLASS R3

 

 

  

AUL AMERICAN UNIT INVESTMENT TRUST
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

69,477

  

5.08%

CLASS R3

 

 

  

MASSACHUSETTS MUTUAL LIFE
INSURANCE CO
1295 STATE STREET MIP M200-INVST SPRINGFIELD MA 01111-0001

  

71,477

  

5.23%

CLASS R3

 

 

  

STATE STREET BANK AND TRUST AS
TRUSTEE AND/OR CUST FBO ADP ACCESS
PRODUCT
1 LINCOLN ST
BOSTON MA 02111-2901

  

108,074

  

7.91%

CLASS R3

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

605,526

  

44.31%

CLASS R4

 

 

  

FIIOC FBO C.E. TOLAND & SON
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

15,770

  

5.59%

CLASS R4

 

 

  

MASSACHUSETTS MUTUAL INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

21,805

  

7.73%

CLASS R4

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

38,407

  

13.61%

CLASS R4

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

42,398

  

15.02%

CLASS R4

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

51,365

  

18.20%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

90,718

  

32.14%

CLASS R5

 

 

  

FIIOC FBO
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

101,865

  

8.29%

CLASS R5

 

 

  

AUL AMERICAN UNIT INVESTMENT TRUST
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

165,209

  

13.44%

 

 

 

 

 

 

 

 

L-50

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

866,437

  

70.48%

CLASS R6

 

 

  

MASSACHUSETTS MUTUAL LIFE INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

214,387

  

10.89%

CLASS R6

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

234,404

  

11.91%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

381,839

  

19.39%

CLASS R6

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

691,065

  

35.10%

International Value

 

 

 

 

 

 

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

29,041,853

  

73.32%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

302,057

  

5.34%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

355,758

  

6.29%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

454,097

  

8.03%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

502,617

  

8.89%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

548,945

  

9.70%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

626,014

  

11.07%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

805,309

  

14.24%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

922,809

  

16.31%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

474,464

  

7.31%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

563,722

  

8.69%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

586,135

  

9.03%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

786,365

  

12.12%

 

 

 

 

 

 

 

 

L-51

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,040,528

  

16.04%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,247,622

  

19.23%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,255,140

  

19.34%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

3,778,094

  

99.62%

CLASS I

 

 

  

MULTI-ASSET GLOBAL OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

3,821,353

  

9.22%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

10,476,033

  

25.27%

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

11,426,422

  

27.56%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

11,630,175

  

28.05%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

53,475

  

94.87%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

392,125

  

37.00%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

486,351

  

45.90%

CLASS R4

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

509

  

8.81%

CLASS R4

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

665

  

11.52%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

786

  

13.61%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,447

  

25.07%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

1,799

  

31.16%

CLASS R5

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

231

  

13.72%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,454

  

86.28%

 

 

 

 

 

 

 

 

L-52

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

218,480

  

98.82%

Micro Cap Growth

 

 

 

 

 

 

CLASS A

 

 

  

JOAN A BINSTOCK TR
1105 PARK AVE APT 9B
NEW YORK NY 10128-1200

  

53,732

  

5.82%

CLASS A

 

 

  

CHRISTINA SEIX DOW CO
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

551,507

  

59.73%

CLASS I

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

918,580

  

11.48%

CLASS I

 

 

  

THE DOW FOUNDATION
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

1,170,420

  

14.62%

CLASS I

 

 

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,915,085

  

73.89%

Mid Cap Stock

 

 

 

 

 

 

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,983,155

  

5.29%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,032,887

  

5.42%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,750,592

  

7.34%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,983,155

  

5.29%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,032,887

  

5.42%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,750,592

  

7.34%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

3,296,976

  

8.80%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

11,004,120

  

29.35%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

133,395

  

5.24%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

136,538

  

5.36%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

141,810

  

5.57%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

158,205

  

6.21%

 

 

 

 

 

 

 

 

L-53

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

160,372

  

6.30%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

163,528

  

6.42%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

242,268

  

9.51%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

482,175

  

18.93%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

361,114

  

6.15%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

376,079

  

6.41%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

404,518

  

6.89%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

508,387

  

8.66%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

524,066

  

8.93%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

556,078

  

9.47%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,010,358

  

17.21%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,366,584

  

23.27%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

862,617

  

97.50%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,301,247

  

5.56%

CLASS I

 

 

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,710,835

  

24.41%

CLASS I

 

 

  

MULTI-ASSET GROWTH
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

6,764,920

  

28.91%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

7,501,061

  

32.06%

CLASS P

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

117,584

  

6.92%

 

 

 

 

 

 

 

 

L-54

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

1,244,547

  

73.22%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 4
JACKSONVILLE FL 32246-6484

  

431,767

  

86.57%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

71,498

  

6.93%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

120,911

  

11.71%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

169,402

  

24.94%

CLASS R4

 

 

  

C/O MUTUAL FUND TRADING
8525 E ORCHARD RD
GREENWOOD VLG CO 80111-5002

  

357,028

  

52.57%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

82,089

  

46.73%

CLASS R5

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

84,069

  

47.85%

CLASS R6

 

 

  

ASCENSUS TRUST COMPANY FBO
PO BOX 10758
FARGO ND 58106-0758

  

47,060

  

5.09%

CLASS R6

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

50,075

  

5.42%

CLASS R6

 

 

  

TD AMERITRADE TRUST COMPANY
PO BOX 17748
DENVER CO 80217-0748

  

55,040

  

5.96%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

89,175

  

9.65%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

347,720

  

37.64%

Multi-Asset Balanced Opportunity

 

 

 

 

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

5,894,286

  

5.57%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

64,914,894

  

61.38%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,000,372

  

5.37%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,315,624

  

7.06%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,123,929

  

11.40%

 

 

 

 

 

 

 

 

L-55

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

2,557,593

  

13.73%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

3,579,030

  

19.22%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

231,274

  

6.04%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

377,429

  

9.85%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

529,610

  

13.82%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

622,476

  

16.25%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

692,648

  

18.08%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

924,031

  

24.12%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

984

  

100.00%

CLASS I

 

 

  

RELIANCE TRUST CO TTEE
1100 ABERNATHY RD
ATLANTA GA 30328-5620

  

52,470

  

5.08%

CLASS I

 

 

  

MATRIX TRUST COMPANY
PO BOX 52129
PHOENIX AZ 85072-2129

  

54,072

  

5.23%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

71,819

  

6.95%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

747,649

  

72.34%

CLASS P

 

 

  

ASCENSUS TRUST CO
PO BOX 10758
FARGO ND 58106-0758

  

2,848

  

5.60%

CLASS P

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

11,461

  

22.52%

CLASS P

 

 

  

RELIANCE TRUST COMPANY FBO
PO BOX 28004
ATLANTA GA 30358-0004

  

35,563

  

69.87%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

1,856

  

5.53%

CLASS R2

 

 

  

ASCENSUS TRUST COMPANY FBO
P.O. BOX 10758
FARGO ND 58106-0758

  

7,770

  

23.14%

 

 

 

 

 

 

 

 

L-56

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

23,102

  

68.79%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

344,122

  

15.06%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

374,628

  

16.40%

CLASS R4

 

 

  

MATRIX TRUST COMPANY CUST FBO
DAN C COLE PC 401K PLAN
717 17TH ST STE 1300
DENVER CO 80202-3304

  

26,347

  

5.14%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

27,618

  

5.39%

CLASS R5

 

 

  

PAI TRUST COMPANY INC
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

1,868

  

17.78%

CLASS R5

 

 

  

FIIOC
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

8,614

  

81.97%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

25,126

  

5.94%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

25,967

  

6.14%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

55,765

  

13.18%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

63,837

  

15.09%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

169,437

  

40.04%

Multi-Asset Global Opportunity

 

 

 

 

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

634,417

  

6.16%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

5,366,709

  

52.10%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

188,019

  

8.76%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

246,173

  

11.47%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

260,452

  

12.13%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

20,188

  

5.94%

 

 

 

 

 

 

 

 

L-57

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

20,673

  

6.08%

CLASS F

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

21,094

  

6.20%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

31,055

  

9.13%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

38,616

  

11.36%

CLASS F

 

 

  

STIFEL NICOLAUS & CO INC
501 N BROADWAY
SAINT LOUIS MO 63102-2188

  

49,795

  

14.64%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

54,498

  

16.03%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

76,590

  

22.52%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

967

  

100.00%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

6,897

  

6.58%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

35,074

  

33.44%

CLASS I

 

 

  

THE DOW FOUNDATION
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

61,086

  

58.24%

CLASS R2

 

 

  

PAI TRUST COMPANY, INC.
1300 ENTERPRISE DR
DE PERE WI 54115-4934

  

36,787

  

96.21%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

10,219

  

5.00%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

12,383

  

6.06%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

20,443

  

10.01%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

24,397

  

11.95%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

2,820

  

5.19%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

3,616

  

6.66%

 

 

 

 

 

 

 

 

L-58

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

4,223

  

7.77%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

9,185

  

16.91%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

12,621

  

23.23%

CLASS R5

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

427

  

10.39%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,006

  

24.47%

CLASS R5

 

 

  

NATIONWIDE TRUST CO FSB
PO BOX 182029
COLUMBUS OH 43218-2029

  

2,679

  

65.14%

CLASS R6

 

 

  

WASHINGTON SUBURBAN SANITARY
14501 SWEITZER LN FL 11
LAUREL MD 20707-5901

  

2,561,832

  

99.05%

Multi-Asset Growth

 

 

 

 

 

 

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,616,124

  

5.59%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

25,683,895

  

54.91%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

656,914

  

7.22%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

819,891

  

9.01%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,037,280

  

11.40%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,073,798

  

11.80%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

120,601

  

5.82%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

135,760

  

6.56%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

165,700

  

8.00%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

195,396

  

9.44%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

234,398

  

11.32%

 

 

 

 

 

 

 

 

L-59

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

242,553

  

11.71%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

386,575

  

18.67%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

473,383

  

22.86%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

551

  

28.49%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,383

  

71.51%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

205,405

  

11.11%

CLASS I

 

 

  

THE DOW FOUNDATION
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

1,578,761

  

85.37%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

379

  

15.55%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

477

  

19.60%

CLASS R2

 

 

  

MG TRUST COMPANY CUST. FBO
717 17TH ST STE 1300
DENVER CO 80202-3304

  

1,428

  

58.56%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

172,220

  

9.94%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

380,090

  

21.93%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,497

  

100.00%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

36,500

  

5.35%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

59,503

  

8.73%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

175,784

  

25.79%

Multi-Asset Income

 

 

 

 

 

 

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

2,622,251

  

5.58%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

4,257,614

  

9.06%

 

 

 

 

 

 

 

 

L-60

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

4,833,064

  

10.29%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

5,810,749

  

12.37%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

11,564,291

  

24.62%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,412,008

  

5.46%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,637,583

  

6.33%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,676,426

  

6.48%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,974,762

  

7.63%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

2,034,071

  

7.86%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

3,609,097

  

13.95%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

6,700,711

  

25.90%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

838,641

  

5.95%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

941,209

  

6.68%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,245,392

  

8.84%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,396,496

  

9.91%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,422,020

  

10.09%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,814,722

  

12.87%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,377,709

  

16.87%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,740,423

  

19.44%

 

 

 

 

 

 

 

 

L-61

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

241,934

  

98.10%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

241,512

  

7.04%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,526,769

  

73.71%

CLASS R2

 

 

  

DONG II SEO & DAE HYUN SON
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

1,366

  

17.02%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

1,638

  

20.41%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

5,021

  

62.53%

CLASS R3

 

 

  

MATRIX TRUST COMPANY CUST
717 17TH ST STE 1300
DENVER CO 80202-3304

  

89,596

  

6.18%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

279,664

  

19.28%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

699,387

  

48.22%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

13,319

  

7.97%

CLASS R4

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

25,516

  

15.27%

CLASS R4

 

 

  

CAPITAL BANK & TRUST COMPANY
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

34,165

  

20.44%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

801

  

35.03%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

1,486

  

64.97%

CLASS R6

 

 

  

MATRIX TRUST COMPANY CUST.
717 17TH ST STE 1300
DENVER CO 80202-3304

  

11,957

  

5.91%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

14,651

  

7.24%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

16,464

  

8.13%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

20,234

  

10.00%

 

 

 

 

 

 

 

 

L-62

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

24,607

  

12.16%

CLASS R6

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

28,927

  

14.29%

National Tax Free

 

 

 

 

 

 

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

8,115,688

  

5.43%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

11,564,876

  

7.74%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

11,832,545

  

7.92%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

66,531,739

  

44.52%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

789,560

  

6.06%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

911,588

  

7.00%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,081,695

  

8.30%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,862,491

  

14.29%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,152,848

  

16.52%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

3,175,067

  

24.37%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

2,475,656

  

6.18%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,900,739

  

7.24%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

2,980,129

  

7.44%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

3,250,913

  

8.12%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

3,407,358

  

8.51%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

3,486,079

  

8.70%

 

 

 

 

 

 

 

 

L-63

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

5,684,778

  

14.20%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

12,447,352

  

31.08%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

214,732

  

7.38%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

2,694,670

  

92.58%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

431,628

  

5.95%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

805,867

  

11.11%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,365,879

  

18.83%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

3,205,984

  

44.20%

New Jersey Tax Free

 

 

 

 

 

 

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,004,189

  

5.63%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,007,723

  

5.65%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,016,236

  

5.69%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,417,939

  

7.94%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

2,297,980

  

12.87%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

3,479,119

  

19.49%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

306,254

  

9.84%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

330,346

  

10.62%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

423,715

  

13.62%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

511,616

  

16.44%

 

 

 

 

 

 

 

 

L-64

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

613,189

  

19.70%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

625,400

  

20.10%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,184

  

5.96%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

2,810

  

7.67%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

31,634

  

86.36%

CLASS I

 

 

  

TD AMERITRADE
174 HIGH TOR DR
WATCHUNG NJ 07069-5412

  

39,211

  

9.51%

CLASS I

 

 

  

TD AMERITRADE FBO
162 PLEASANT VALLEY RD
MORGANVILLE NJ 07751-1164

  

69,212

  

16.78%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

211,875

  

51.37%

New York Tax Free

 

 

 

 

 

 

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,925,315

  

7.98%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,433,094

  

10.09%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,519,295

  

10.45%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

3,110,455

  

12.90%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

4,289,270

  

17.79%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

168,208

  

5.02%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

196,598

  

5.87%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

290,250

  

8.66%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

355,680

  

10.62%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

870,937

  

25.99%

 

 

 

 

 

 

 

 

L-65

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

931,362

  

27.80%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

284,745

  

7.36%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

297,955

  

7.70%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

386,609

  

9.99%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

415,485

  

10.74%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

422,925

  

10.93%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,629,250

  

42.12%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

80,503

  

100.00%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

81,499

  

7.33%

CLASS I

 

 

  

SEI PRIVATE TRUST CO
1 FREEDOM VALLEY DR
OAKS PA 19456-9989

  

171,338

  

15.42%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

324,895

  

29.23%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

513,180

  

46.17%

Bond Debenture Portfolio

 

 

 

 

 

 

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE AND ANNUITY
PO BOX 5051
HARTFORD CT 06102-5051

  

5,262,329

  

5.50%

CLASS VC

 

 

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

8,418,065

  

8.80%

CLASS VC

 

 

  

AXA EQUITABLE LIFE INSURANCE CO
1290 AVENUE OF THE AMERICAS FL 12
NEW YORK NY 10104-1472

  

11,735,624

  

12.27%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

51,375,071

  

53.73%

Classic Stock Portfolio

 

 

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

178,365

  

5.29%

CLASS VC

 

 

  

AXA EQUITABLE LIFE INSURANCE CO
1290 AVENUE OF THE AMERICAS FL 12
NEW YORK NY 10104-1472

  

357,700

  

10.61%

 

 

 

 

 

 

 

 

L-66

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE AND ANNUITY
PO BOX 5051
HARTFORD CT 06102-5051

  

360,312

  

10.68%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

2,335,379

  

69.25%

Developing Growth Portfolio

 

 

CLASS VC

 

 

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

252,261

  

11.64%

CLASS VC

 

 

  

HORACE MANN LIFE INS
1 HORACE MANN PLZ
SPRINGFIELD IL 62715-0001

  

318,162

  

14.68%

CLASS VC

 

 

  

LINCOLN LIFE INSURANCE COMPANY
1300 S CLINTON ST
FORT WAYNE IN 46802-3518

  

496,133

  

22.89%

CLASS VC

 

 

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

724,404

  

33.42%

Fundamental Equity Portfolio

 

 

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE AND ANNUITY
PO BOX 5051
HARTFORD CT 06102-5051

  

2,024,114

  

9.62%

CLASS VC

 

 

  

DELAWARE LIFE INSURANCE
1601 TRAPELO RD STE 30
WALTHAM MA 02451-7360

  

2,077,781

  

9.87%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

13,839,514

  

65.74%

Growth & Income Portfolio

 

 

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

1,107,200

  

6.49%

CLASS VC

 

 

  

PHOENIX HOME LIFE VARIABLE INSURANCE
15 TECH VALLEY DR
EAST GREENBUSH NY 12061-4141

  

1,135,062

  

6.65%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

2,143,183

  

12.56%

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE AND ANNUITY
PO BOX 5051
HARTFORD CT 06102-5051

  

2,144,242

  

12.57%

CLASS VC

 

 

  

AIG SUNAMERICA LIFE ASSURANCE
2727A ALLEN PKWY # 4-D1
HOUSTON TX 77019-2107

  

7,485,437

  

43.87%

Growth Opportunities Portfolio

 

 

CLASS VC

 

 

  

DELAWARE LIFE INSURANCE COMPANY
1601 TRAPELO RD STE 30
WALTHAM MA 02451-7360

  

1,728,781

  

17.57%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

6,577,626

  

66.85%

L-67

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

International Equity Portfolio

 

 

CLASS VC

 

 

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

3,730,250

  

98.23%

International Opportunities Portfolio

 

 

CLASS VC

 

 

  

MIDLAND NATIONAL LIFE INS CO
PO BOX 79907
WDM IA 50325-0907

  

606,492

  

9.86%

CLASS VC

 

 

  

MIDLAND NATIONAL LIFE INS CO
4350 WESTOWN PARKWAY
DES MOINES IA 50266-1036

  

855,735

  

13.91%

CLASS VC

 

 

  

JEFFERSON NATIONAL LIFE INS CO
10350 ORMSBY PARK PL STE 600
LOUISVILLE KY 40223-6175

  

879,863

  

14.30%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

3,231,318

  

52.53%

Mid Cap Stock Portfolio

 

 

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

704,348

  

5.85%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

2,584,004

  

21.47%

CLASS VC

 

 

  

AIG SUNAMERICA LIFE ASSURANCE
2727A ALLEN PKWY # 4-D1
HOUSTON TX 77019-2107

  

3,333,990

  

27.70%

CLASS VC

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

3,564,159

  

29.61%

Short Duration Income Portfolio

 

 

CLASS VC

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

634,917

  

11.00%

CLASS VC

 

 

  

MIDLAND NATIONAL LIFE INS
4546 CORPORATE DRIVE STE 100
WEST DES MOINES IA 50266-5911

  

1,086,383

  

18.82%

CLASS VC

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

1,333,702

  

23.10%

CLASS VC

 

 

  

LINCOLN LIFE INSURANCE COMPANY
1300 S CLINTON ST
FORT WAYNE IN 46802-3518

  

2,411,462

  

41.77%

Series – Total Return

 

 

 

 

 

 

CLASS VC

 

 

  

GREAT WEST LIFE AND ANNUITY
8515 E ORCHARD RD # 2T2
GREENWOOD VILLAGE CO 80111-5002

  

2,182,744

  

6.16%

CLASS VC

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

2,783,391

  

7.86%

CLASS VC

 

 

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

2,964,903

  

8.37%

 

 

 

 

 

 

 

 

L-68

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS VC

 

 

  

NATIONWIDE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

3,520,301

  

9.94%

CLASS VC

 

 

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

17,750,719

  

50.12%

Calibrated Dividend Growth Portfolio

 

 

CLASS VC

 

 

  

JEFFERSON NATIONAL LIFE INS CO
10350 ORMSBY PARK PL STE 600
LOUISVILLE KY 40223-6175

  

596,331

  

5.22%

CLASS VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

727,396

  

6.36%

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE AND ANNUITY
PO BOX 5051
HARTFORD CT 06102-5051

  

939,660

  

8.22%

CLASS VC

 

 

  

TALCOTT RESOLUTION LIFE AND ANNUITY
PO BOX 5051
HARTFORD CT 06102-5051

  

1,553,391

  

13.59%

Class VC

 

 

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

6,919,011

  

60.53%

Short Duration High Yield Municipal Bond

 

 

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

603,584

  

6.36%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

769,064

  

8.11%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

800,215

  

8.44%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

966,263

  

10.19%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,239,635

  

13.07%

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

1,242,311

  

13.10%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,634,748

  

17.23%

CLASS C

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

38,429

  

5.32%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

39,974

  

5.54%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

59,576

  

8.25%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

61,966

  

8.58%

 

 

 

 

 

 

 

 

L-69

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

LPL FINANCIAL
PO BOX 509046
SAN DIEGO CA 92150-9046

  

78,329

  

10.85%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

114,048

  

15.80%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

120,965

  

16.75%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

137,112

  

18.99%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

425,515

  

5.10%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

440,860

  

5.29%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

470,265

  

5.64%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,061,881

  

12.74%

CLASS F

 

 

  

LPL FINANCIAL
PO BOX 509046
SAN DIEGO CA 92150-9046

  

1,203,644

  

14.44%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,646,615

  

19.75%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,524,272

  

30.28%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

355,378

  

98.15%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

354,971

  

11.10%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,371,098

  

74.13%

Short Duration Core Bond

 

 

CLASS A

 

 

  

JOAN A BINSTOCK
1105 PARK AVE APT 9B
NEW YORK NY 10128-1200

  

73,988

  

10.06%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

330,519

  

44.92%

CLASS C

 

 

  

JAMES X MCGINN
286 BALCHEN ST
MASSAPEQUA PARK NY 11762-1111

  

12,420

  

5.86%

CLASS C

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

28,165

  

13.29%

 

 

 

 

 

 

 

 

L-70

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

97,669

  

46.09%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

137,901

  

24.11%

CLASS F

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

159,377

  

27.87%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

253,521

  

44.33%

CLASS F3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

159,998

  

100.00%

CLASS I

 

 

  

TD AMERITRADE
21526 SW CAYUSE CT
TUALATIN OR 97062-9025

  

1,590

  

12.02%

CLASS I

 

 

  

TD AMERITRADE FBO
14307 SW BARROWS RD
BEAVERTON OR 97007-6136

  

5,230

  

39.52%

CLASS I

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,322

  

40.22%

CLASS R2

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,630

  

100.00%

CLASS R3

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,635

  

36.15%

CLASS R3

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

4,654

  

63.85%

CLASS R4

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,648

  

100.00%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

2,661

  

100.00%

CLASS R6

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

9,814

  

5.34%

CLASS R6

 

 

  

MATRIX TRUST COMPANY CUST FBO
717 17TH ST STE 1300
DENVER CO 80202-3304

  

11,173

  

6.08%

CLASS R6

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

159,998

  

87.05%

Short Duration Income Fund

 

 

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

115,140,350

  

5.16%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

183,360,716

  

8.23%

 

 

 

 

 

 

 

 

L-71

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS A

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

201,462,122

  

9.04%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

214,713,083

  

9.63%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

226,501,221

  

10.16%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

242,606,579

  

10.88%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

243,491,991

  

10.92%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

250,631,768

  

11.24%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

57,394,709

  

5.06%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

62,951,244

  

5.55%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

70,918,142

  

6.26%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

83,848,434

  

7.40%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

111,705,671

  

9.86%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

117,621,497

  

10.38%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

148,409,774

  

13.09%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

280,847,710

  

24.78%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

270,519,667

  

5.89%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

333,395,682

  

7.26%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

352,180,340

  

7.67%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

406,650,223

  

8.86%

 

 

 

 

 

 

 

 

L-72

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

458,609,910

  

9.99%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

592,040,803

  

12.90%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

865,020,415

  

18.84%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

950,014,251

  

20.69%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

403,957,923

  

42.52%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

467,892,322

  

49.25%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

432,089,736

  

20.94%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

482,812,744

  

23.40%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

506,632,237

  

24.56%

CLASS R2

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

903,006

  

18.98%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,758,423

  

57.98%

CLASS R3

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

8,883,592

  

11.02%

CLASS R3

 

 

  

VOYA INSTUTUTIONAL TRUST CO
PO BOX 990065
HARTFORD CT 06199-0065

  

18,691,412

  

23.18%

CLASS R3

 

 

  

SAMMONS FINANCIAL NETWORK LLC
4546 CORPORATE DR STE 100
WEST DES MOINES IA 50266-5911

  

34,647,476

  

42.97%

CLASS R4

 

 

  

VOYA RETIREMENT INS AND ANNUITY
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

1,535,194

  

5.37%

CLASS R4

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

3,178,705

  

11.11%

CLASS R4

 

 

  

JOHN HANCOCK LIFE INSURANCE CO
601 CONGRESS ST
BOSTON MA 02210-2805

  

6,352,862

  

22.21%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

7,084,366

  

24.77%

 

 

 

 

 

 

 

 

L-73

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

797,177

  

5.42%

CLASS R5

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

1,001,741

  

6.80%

CLASS R5

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

1,885,330

  

12.81%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

3,790,563

  

25.75%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

9,261,782

  

5.34%

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

11,711,570

  

6.76%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

11,961,283

  

6.90%

CLASS R6

 

 

  

DESERET MUTUAL EMPLOYEE
PENSION PLAN TRUST
PO BOX 45530
SALT LAKE CITY UT 84145-0530

  

33,022,294

  

19.06%

Short Duration Tax Free

 

 

CLASS A

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

2,099,671

  

5.58%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,207,784

  

5.86%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,299,445

  

6.11%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

3,362,929

  

8.93%

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

4,525,826

  

12.02%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

6,398,787

  

16.99%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

10,630,962

  

28.23%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

384,826

  

6.04%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

729,646

  

11.46%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

785,034

  

12.33%

 

 

 

 

 

 

 

 

L-74

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

979,413

  

15.38%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,171,436

  

34.10%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

1,845,257

  

5.40%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,222,970

  

6.50%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

2,474,325

  

7.24%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

22,439,286

  

65.66%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

277,572

  

14.66%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,613,185

  

85.22%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,172,077

  

17.18%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,812,204

  

26.56%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

2,850,071

  

41.77%

Small Cap Value

 

 

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

903,806

  

5.12%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

927,966

  

5.25%

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,447,775

  

8.20%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

5,383,828

  

30.49%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

68,609

  

5.23%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

122,665

  

9.35%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

185,220

  

14.11%

 

 

 

 

 

 

 

 

L-75

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

273,117

  

20.81%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

41,382

  

5.92%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

43,587

  

6.24%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

47,272

  

6.76%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

52,075

  

7.45%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

55,298

  

7.91%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

69,252

  

9.91%

CLASS F

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

71,579

  

10.24%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

77,381

  

11.07%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

97,963

  

14.01%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

99,798

  

14.28%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,491,093

  

99.81%

CLASS I

 

 

  

TEXASAVERS 457 PLAN
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

2,025,810

  

9.84%

CLASS I

 

 

  

THE VANGUARD FIDUCIARY TRUST CO
PO BOX 2600
VALLEY FORGE PA 19482-2600

  

2,118,792

  

10.29%

CLASS I

 

 

  

TEXASAVER 401(K) PLAN
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

4,894,686

  

23.78%

CLASS I

 

 

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

9,278,136

  

45.08%

CLASS P

 

 

  

VOYA RETIREMENT INS AND ANNUITY CO
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

114,471

  

7.52%

CLASS P

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

257,253

  

16.90%

 

 

 

 

 

 

 

 

L-76

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

689,896

  

45.33%

CLASS R2

 

 

  

JENNIFER OLSON
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

2,802

  

5.42%

CLASS R2

 

 

  

CAPITAL BANK & TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

4,890

  

9.46%

CLASS R2

 

 

  

B FOREMNY & P NIEPOKOJ
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

8,040

  

15.56%

CLASS R2

 

 

  

MID ATLANTIC TRUST COMPANY
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

9,420

  

18.23%

CLASS R2

 

 

  

JEFFREY FRENCH TTEE
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

11,578

  

22.41%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 4
JACKSONVILLE FL 32246-6484

  

12,087

  

23.39%

CLASS R3

 

 

  

SELLENRIEK CONSTRUCTION INC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

18,732

  

5.04%

CLASS R3

 

 

  

VOYA RETIREMENT INS AND ANNUITY
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

21,245

  

5.71%

CLASS R3

 

 

  

ROGER BARAL & KEVIN CALHOUN
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

21,514

  

5.78%

CLASS R3

 

 

  

CAPITAL BANK & TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

57,042

  

15.34%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

48,636

  

32.21%

CLASS R4

 

 

  

C/O MUTUAL FUND TRADING
8525 E ORCHARD RD
GREENWOOD VLG CO 80111-5002

  

76,313

  

50.55%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

50

  

7.92%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

587

  

92.08%

CLASS R6

 

 

  

NABANK & CO
PO BOX 2180
TULSA OK 74101-2180

  

61,005

  

7.51%

CLASS R6

 

 

  

WELLS FARGO BANK
1525 WEST WT HARRIS BLVD
CHARLOTTE NC 28288-1076

  

66,339

  

8.16%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

262,215

  

32.27%

 

 

 

 

 

 

 

 

L-77

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

394,649

  

48.56%

Total Return

 

 

CLASS A

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

14,594,849

  

12.46%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

69,013,437

  

58.93%

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

828,005

  

7.02%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,143,929

  

9.69%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

1,258,548

  

10.67%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

2,097,496

  

17.77%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

3,100,376

  

26.27%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

4,593,566

  

5.03%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

5,134,048

  

5.62%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

5,472,975

  

5.99%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

8,627,118

  

9.44%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

9,011,277

  

9.86%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

11,767,484

  

12.88%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

32,824,579

  

35.91%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

57,671,018

  

99.74%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

2,644,375

  

6.65%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

4,182,339

  

10.51%

 

 

 

 

 

 

 

 

L-78

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

6,554,841

  

16.47%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

16,186,219

  

40.68%

CLASS P

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

10,266

  

17.32%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

16,985

  

28.65%

CLASS P

 

 

  

GREAT-WEST TRUST COMPANY LLC
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

31,120

  

52.49%

CLASS R2

 

 

  

MATRIX TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

28,209

  

6.35%

CLASS R2

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

42,292

  

9.52%

CLASS R2

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

93,723

  

21.10%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

208,778

  

47.01%

CLASS R3

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

1,237,812

  

12.32%

CLASS R3

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

1,259,563

  

12.54%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

2,368,098

  

23.58%

CLASS R4

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

343,690

  

5.46%

CLASS R4

 

 

  

NATIONWIDE LIFE INSURANCE CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

374,962

  

5.95%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

3,287,259

  

52.19%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

2,066,266

  

18.15%

CLASS R5

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

3,755,493

  

32.99%

CLASS R5

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

4,053,636

  

35.61%

 

 

 

 

 

 

 

 

L-79

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,493,180

  

5.48%

CLASS R6

 

 

  

SAXON & CO.
P.O. BOX 7780-1888
PHILADELPHIA PA 19182-0001

  

1,647,894

  

6.05%

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

1,736,654

  

6.38%

CLASS R6

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

2,122,830

  

7.80%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

3,377,473

  

12.40%

CLASS R6

 

 

  

GREAT-WEST TRUST COMPANY LLC FBO
8515 E ORCHARD RD 2T2
GREENWOOD VILLAGE CO 80111-5002

  

3,857,148

  

14.17%

Ultra Short Bond

 

 

 

 

 

 

 

 

CLASS A

 

 

  

LPL FINANCIAL
PO BOX 509046
SAN DIEGO CA 92150-9046

  

43,658,212

  

5.31%

CLASS A

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

51,526,574

  

6.27%

CLASS A

 

 

  

STIFEL NICOLAUS & CO INC
501 N BROADWAY
SAINT LOUIS MO 63102-2188

  

52,108,812

  

6.34%

CLASS A

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

57,576,454

  

7.00%

CLASS A

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

103,319,001

  

12.56%

CLASS A

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

106,941,185

  

13.00%

CLASS A

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

221,560,306

  

26.94%

CLASS F

 

 

  

RBC CAPITAL MARKETS LLC
510 MARQUETTE AVE S
MINNEAPOLIS MN 55402-1110

  

33,247,749

  

5.24%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

35,778,573

  

5.64%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

46,610,549

  

7.34%

CLASS F

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

53,645,933

  

8.45%

CLASS F

 

 

  

LPL FINANCIAL
PO BOX 509046
SAN DIEGO CA 92150-9046

  

62,217,376

  

9.80%

 

 

 

 

 

 

 

 

L-80

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

63,471,600

  

10.00%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

77,678,863

  

12.24%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

191,737,322

  

30.21%

CLASS F3

 

 

  

THE JACKSON LABORATORY
600 MAIN ST
BAR HARBOR ME 04609-1500

  

2,547,126

  

9.87%

CLASS F3

 

 

  

JP MORGAN SECURITIES LLC
4 CHASE METROTECH CTR
BROOKLYN NY 11245-0001

  

10,086,081

  

39.07%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

12,626,020

  

48.91%

CLASS I

 

 

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

10,255,332

  

6.80%

CLASS I

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

11,975,612

  

7.94%

CLASS I

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN STREET
SAN FRANCISCO CA 94105-1905

  

26,263,584

  

17.41%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

27,645,602

  

18.32%

CLASS I

 

 

  

MULTI-ASSET INCOME STRATEGY FUND
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

27,862,400

  

18.47%

CLASS R5

 

 

  

D A DAVIDSON & CO
8 3RD ST N
GREAT FALLS MT 59401-3155

  

13,782

  

5.85%

CLASS R5

 

 

  

TD AMERITRADE TRUST COMPANY
PO BOX 17748
DENVER CO 80217-0748

  

24,353

  

10.34%

CLASS R5

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

26,249

  

11.15%

CLASS R5

 

 

  

MID ATLANTIC TRUST COMPANY FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

36,941

  

15.69%

CLASS R5

 

 

  

STATE STREET BANK AND TRUST
1 LINCOLN ST
BOSTON MA 02111-2901

  

132,869

  

56.42%

CLASS R6

 

 

  

BENEFIT TRUST COMPANY
PO BOX 12765
OVERLAND PARK KS 66282-2765

  

48,247

  

7.80%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

58,302

  

9.42%

 

 

 

 

 

 

 

 

L-81

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R6

 

 

  

TD AMERITRADE TRUST COMPANY
PO BOX 17748
DENVER CO 80217-0748

  

78,312

  

12.66%

CLASS R6

 

 

  

HOCO FBO NON FID ERISA
922 WALNUT ST
MAILSTOP TBTS 2
KANSAS CITY MO 64106-1802

  

339,299

  

54.84%

U.S. Government Money Market

 

 

 

 

CLASS A

 

 

  

LORD ABBETT DISTRIBUTOR LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

19,439,403

  

6.55%

CLASS A

 

 

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

33,843,196

  

11.40%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

43,439,725

  

14.64%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,049,447

  

5.06%

CLASS C

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

1,271,380

  

6.13%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,661,255

  

8.01%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

1,860,165

  

8.97%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

3,455,707

  

16.67%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

3,765,879

  

18.16%

CLASS I

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

6,064,443

  

43.70%

CLASS I

 

 

  

THE DOW FOUNDATION
120 RIDGE RD
TUXEDO PARK NY 10987-4251

  

7,814,473

  

56.30%

Value Opportunities

 

 

 

 

 

 

CLASS A

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,840,911

  

6.24%

CLASS A

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

19,390,142

  

42.58%

CLASS C

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

646,355

  

5.71%

CLASS C

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

679,552

  

6.01%

 

 

 

 

 

 

 

 

L-82

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS C

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

718,535

  

6.35%

CLASS C

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

745,529

  

6.59%

CLASS C

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

890,456

  

7.87%

CLASS C

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,109,024

  

9.80%

CLASS C

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,357,135

  

11.99%

CLASS C

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

2,366,292

  

20.91%

CLASS F

 

 

  

CHARLES SCHWAB & CO INC
211 MAIN ST
SAN FRANCISCO CA 94105-1905

  

832,622

  

6.05%

CLASS F

 

 

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

1,032,667

  

7.50%

CLASS F

 

 

  

AMERICAN ENTERPRISE INVESTMENT SVC
707 2ND AVE S
MINNEAPOLIS MN 55402-2405

  

1,074,222

  

7.80%

CLASS F

 

 

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,255,986

  

9.12%

CLASS F

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

1,346,816

  

9.78%

CLASS F

 

 

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

1,554,618

  

11.29%

CLASS F

 

 

  

RAYMOND JAMES
880 CARILLON PKWY
ST PETERSBURG FL 33716-1100

  

1,822,377

  

13.24%

CLASS F

 

 

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

2,622,850

  

19.05%

CLASS F3

 

 

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

15,573,512

  

99.35%

CLASS I

 

 

  

NATIONAL FINANCIAL SERVICES LLC
200 LIBERTY ST # 1WFC
NEW YORK NY 10281-1003

  

3,125,447

  

16.18%

CLASS I

 

 

  

WELLS FARGO CLEARING SERVICES LLC
2801 MARKET ST
SAINT LOUIS MO 63103-2523

  

3,249,243

  

16.82%

CLASS I

 

 

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

10,278,021

  

53.20%

 

 

 

 

 

 

 

 

L-83

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS P

 

 

  

AUL GROUP RETIREMENT ANNUITY
PO BOX 368
INDIANAPOLIS IN 46206-0368

  

76,026

  

5.56%

CLASS P

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

157,025

  

11.48%

CLASS P

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE COMPANY
PO BOX 5051
HARTFORD CT 06102-5051

  

858,414

  

62.75%

CLASS R2

 

 

  

RELIANCE TRUST CO CUSTODIAN
PO BOX 28004
ATLANTA GA 30358-0004

  

38,148

  

9.40%

CLASS R2

 

 

  

MASSACHUSETTS MUTUAL INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

49,295

  

12.15%

CLASS R2

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

60,163

  

14.83%

CLASS R2

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

119,702

  

29.50%

CLASS R3

 

 

  

VOYA RETIREMENT INS AND ANNUITY
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

667,720

  

16.44%

CLASS R3

 

 

  

TALCOTT RESOLUTION LIFE INSURANCE
PO BOX 5051
HARTFORD CT 06102-5051

  

1,324,340

  

32.60%

CLASS R4

 

 

  

MASSACHUSETTS MUTUAL INSURANCE
1295 STATE STREET MIP M200-INVST
SPRINGFIELD MA 01111-0001

  

167,872

  

5.98%

CLASS R4

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

232,465

  

8.28%

CLASS R4

 

 

  

JOHN HANCOCK LIFE INSURANCE CO USA
RPS-TRADING OPS ST6
601 CONGRESS ST
BOSTON MA 02210-2805

  

2,009,254

  

71.58%

CLASS R5

 

 

  

C/O MUTUAL FUND TRADING
8525 E ORCHARD RD
GREENWOOD VLG CO 80111-5002

  

7,162

  

5.07%

CLASS R5

 

 

  

FIIOC FBO
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

8,392

  

5.94%

CLASS R5

 

 

  

FIIOC FBO KAHN LUCAS LANCASTER,
100 MAGELLAN WAY KWIC
COVINGTON KY 41015-1987

  

8,970

  

6.35%

CLASS R5

 

 

  

KATHERMAN BRIGGS GREENBERG LLP
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

9,615

  

6.80%

CLASS R5

 

 

  

FIIOC FBO
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

10,309

  

7.29%

CLASS R5

 

 

  

M ENGLEBRECHT & J ENGLEBRECHT
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

12,109

  

8.57%

 

 

 

 

 

 

 

 

L-84

 

 

 

 

 

 

 

 

 

 

Fund

 

 

  

Name and Address of
Beneficial Owner

  

Number

  

Percent of
Class

CLASS R5

 

 

  

CAPITAL BANK & TRUST CO
8515 E ORCHARD RD # 2T2
GREENWOOD VLG CO 80111-5002

  

12,231

  

8.65%

CLASS R5

 

 

  

DCGT TRUSTEE & OR CUSTODIAN
711 HIGH ST
DES MOINES IA 50392-0001

  

15,118

  

10.70%

CLASS R5

 

 

  

NATIONWIDE TRUST CO
PO BOX 182029
COLUMBUS OH 43218-2029

  

17,305

  

12.24%

CLASS R5

 

 

  

FIIOC FBO PICUT INDUSTRIES, INC.
401(K) SAVINGS PLAN
100 MAGELLAN WAY
COVINGTON KY 41015-1987

  

19,909

  

14.09%

CLASS R6

 

 

  

MG TRUST COMPANY
717 17TH ST STE 1300
DENVER CO 80202-3304

  

228,290

  

6.07%

CLASS R6

 

 

  

VOYA RETIREMENT INS AND ANNUITY
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

378,874

  

10.07%

CLASS R6

 

 

  

NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY NJ 07310-1995

  

418,302

  

11.11%

CLASS R6

 

 

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

577,574

  

15.35%

CLASS R6

 

 

  

MID ATLANTIC TRUST CO FBO
1251 WATERFRONT PL STE 525
PITTSBURGH PA 15222-4228

  

883,457

  

23.47%

Table 2. Except as set forth below, to the knowledge of the applicable Fund, as of April 30, 2019, no person is a beneficial owner of 25% or more of a Fund and therefore a “control person” of the Fund under the 1940 Act.

 

 

 

 

 

 

 

Fund

  

Name and Address of
Beneficial Owner

  

Shares Beneficially
Owned as of April 30, 2019
 

Shareholder
Shares

  

Percent of
Fund

AFFILIATED

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

117,963,571

  

27.80%

BOND DEBENTURE

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

449,535,090

  

26.43%

CALIBRATED DIVIDEND GROWTH

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

81,248,448

  

51.86%

CORE FIXED INCOME

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

55,599,708

  

51.83%

CORE PLUS BOND

  

LPL FINANCIAL
9785 TOWNE CENTRE DR
SAN DIEGO CA 92121-1968

  

1,381,823

  

44.73%

CORPORATE BOND

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

545,503

  

81.29%

 

 

 

 

 

 

L-85

 

 

 

 

 

 

 

 

Fund

  

Name and Address of
Beneficial Owner

  

Shares Beneficially
Owned as of April 30, 2019
 

Shareholder
Shares

  

Percent of
Fund

EMERGING MARKETS BOND

  

MULTI-ASSET INCOME
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

13,484,55

  

38.15%

EMERGING MARKETS BOND

  

MULTI-ASSET BALANCED OPPORTUNITY
90 HUDSON ST
JERSEY CITY NJ 07302-3900
WEEHAWKEN NJ 07086-6761

  

15,344,284

  

43.41%

EMERGING MARKETS CORP

  

UBS WM USA
1000 HARBOR BLVD
WEEHAWKEN NJ 07086-6761

  

700,852

  

25.35%

FOCUSED GROWTH

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

133,333

  

32.77%

FOCUSED SMALL CAP VALUE

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

3,521,105

  

76.74%

FUNDAMENTAL EQUITY

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

56,577,594

  

27.35%

GLOBAL BOND FUND

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

1,027,314

  

98.50%

GLOBAL EQUITY RESEARCH

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

332,005

  

47.74%

GLOBAL SELECT EQUITY FUND

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

134,156

  

77.76%

MULTI-ASSET INCOME

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

287,083,774

  

35.63%

INTERNATIONAL OPPORTUNITIES

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

11,956,624

  

29.75%

INTERNATIONAL VALUE

  

EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

33,782,971

  

34.35%

MICRO CAP GROWTH

  

ALPHA STRATEGY
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

5,915,085

  

66.25%

MULTI-ASSET BALANCED OPPORTUNITY

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

67,492,713

  

50.91%

MULTI-ASSET GLOBAL OPPORTUNITY

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

5,612,983

  

35.57%

MULTI-ASSET GROWTH

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

26,760,588

  

42.78%

NATIONAL TAX FREE

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

71,151,427

  

33.46%

 

 

 

 

 

 

L-86

 

 

 

 

 

 

 

 

Fund

  

Name and Address of
Beneficial Owner

  

Shares Beneficially
Owned as of April 30, 2019
 

Shareholder
Shares

  

Percent of
Fund

BOND DEBENTURE PORTFOLIO

  

PROTECTIVE LIFE INSURANCE CO
INVESTMENT PRODUCTS SERVICES
VARIABLE ANNUITY SEPARATE ACCT
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

51,375,071

  

53.73%

CALIBRATED DIVIDEND GROWTH PORTFOLIO

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

6,919,011

  

60.53%

DEVELOPING GROWTH PORTFOLIO

  

PACIFIC LIFE INSURANCE COMPANY
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

724,404

  

33.42%

FUNDAMENTAL EQUITY PORTFOLIO

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606
HOUSTON TX 77019-2107

  

13,839,514

  

65.74%

GROWTH AND INCOME PORTFOLIO

  

AIG SUNAMERICA LIFE ASSURANCE
2727A ALLEN PKWY # 4-D1
HOUSTON TX 77019-2107

  

7,485,437

  

43.87%

GROWTH OPPORTUNITIES PORTFOLIO

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

6,577,626

  

66.85%

INTERNATIONAL OPPORTUNITIES PORTFOLIO

  

PROTECTIVE LIFE INSURANCE CO
PO BOX 2606
BIRMINGHAM AL 35202-2606

  

3,231,318

  

52.53%

MID CAP STOCK PORTFOLIO

  

VOYA RETIREMENT INS AND ANNUITY
ONE ORANGE WAY, B3N
WINDSOR CT 06095-4773

  

3,564,159

  

29.61%

MID CAP STOCK PORTFOLIO

  

AIG SUNAMERICA LIFE ASSURANCE
2727A ALLEN PKWY # 4-D1
HOUSTON TX 77019-2107

  

3,333,990

  

27.70%

SHORT DURATION INCOME PORTFOLIO

  

LINCOLN LIFE INSURANCE COMPANY
1300 S CLINTON ST
FORT WAYNE IN 46802-3518

  

2,411,462

  

41.77%

TOTAL RETURN PORTFOLIO

  

PACIFIC LIFE INSURANCE COMPANY
SEPARATE ACCOUNT A
700 NEWPORT CENTER DR
NEWPORT BEACH CA 92660-6307

  

17,750,719

  

50.12%

SHORT DURATION CORE BOND

  

PERSHING LLC
1 PERSHING PLZ
JERSEY CITY NJ 07399-0002

  

681,709

  

36.04%

SHORT DURATION CORE BOND

  

LORD ABBETT & CO LLC
90 HUDSON ST
JERSEY CITY NJ 07302-3900

  

495,273

  

26.18%

SHORT DURATION TAX FREE

  

MLPF&S
4800 DEER LAKE DR E FL 3
JACKSONVILLE FL 32246-6484

  

22,439,286

  

25.82%

TOTAL RETURN

  

EDWARD D JONES & CO
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

129,869,249

  

34.78%

ULTRA SHORT BOND

  

MORGAN STANLEY SMITH BARNEY LLC
1 NEW YORK PLZ FL 12
NEW YORK NY 10004-1965

  

415,983,139

  

25.45%

 

 

 

 

 

 

L-87

 

 

 

 

 

 

 

 

Fund

  

Name and Address of
Beneficial Owner

  

Shares Beneficially
Owned as of April 30, 2019
 

Shareholder
Shares

  

Percent of
Fund

VALUE OPPORTUNITIES PORTFOLIO

  

EDWARD D JONES & CO
FOR THE BENEFIT OF CUSTOMERS
12555 MANCHESTER RD
SAINT LOUIS MO 63131-3729

  

35,884,471

  

30.37%

L-88

 

Appendix M: Fees Paid to the Funds’ Independent Registered Public Accounting Firm

The following table sets forth the amount D&T billed the Funds for professional services rendered by D&T for the two fiscal years indicated in the table and certain other information.

 

 

 

 

 

 

 

 

 

 

 

 

 

Fund

  

Fiscal Year
Ended

  

Audit
Fees(1)

  

Audit-
Related
Fees(2)

  

Tax
Fees(3)

  

Total Fees
for Services
Provided to
Fund

  

All Other
Fees(4)

Affiliated

 

 

  

10/31/17

  

 

 

$

 

55,600

  

 

 

$

 

0

  

 

 

$

 

7,961

  

 

 

$

 

63,561

  

 

 

$

 

0

  

 

 

 

  

10/31/18

  

 

 

$

 

55,600

  

 

 

$

 

0

  

 

 

$

 

4,895

  

 

 

$

 

60,495

  

 

 

$

 

0

  

Bond Debenture

 

 

  

12/31/17

  

 

 

$

 

76,800

  

 

 

$

 

0

  

 

 

$

 

12,035

  

 

 

$

 

88,835

  

 

 

$

 

0

  

 

 

 

  

12/31/18

  

 

 

$

 

76,800

  

 

 

$

 

0

  

 

 

$

 

7,335

  

 

 

$

 

84,135

  

 

 

$

 

0

  

Developing Growth

 

 

  

7/31/17

  

 

 

$

 

44,000

  

 

 

$

 

0

  

 

 

$

 

7,769

  

 

 

$

 

51,769

  

 

 

$

 

0

  

 

 

 

  

7/31/18

  

 

 

$

 

44,000

  

 

 

$

 

0

  

 

 

$

 

4,765

  

 

 

$

 

48,765

  

 

 

$

 

0

  

Equity Trust

 

 

  

7/31/17

  

 

 

$

 

75,200

  

 

 

$

 

0

  

 

 

$

 

15,539

  

 

 

$

 

90,739

  

 

 

$

 

0

  

 

 

 

  

7/31/18

  

 

 

$

 

75,200

  

 

 

$

 

0

  

 

 

$

 

9,531

  

 

 

$

 

84,731

  

 

 

$

 

0

  

Global Fund

 

 

  

12/31/17

  

 

 

$

 

183,100

  

 

 

$

 

0

  

 

 

$

 

41,910

  

 

 

$

 

225,010

  

 

 

$

 

0

  

 

 

 

  

12/31/18

  

 

 

$

 

170,400

  

 

 

$

 

0

  

 

 

$

 

25,616

  

 

 

$

 

196,016

  

 

 

$

 

0

  

Investment Trust

 

 

  

11/30/17

  

 

 

$

 

863,700

  

 

 

$

 

0

  

 

 

$

 

169,786

  

 

 

$

 

1,033,486

  

 

 

$

 

0

  

 

 

 

  

11/30/18

  

 

 

$

 

838,800

  

 

 

$

 

0

  

 

 

$

 

103,750

  

 

 

$

 

917,650

  

 

 

$

 

0

  

Mid Cap Stock

 

 

  

12/31/17

  

 

 

$

 

40,100

  

 

 

$

 

0

  

 

 

$

 

7,961

  

 

 

$

 

48,061

  

 

 

$

 

0

  

 

 

 

  

12/31/18

  

 

 

$

 

40,100

  

 

 

$

 

0

  

 

 

$

 

4,895

  

 

 

$

 

44,995

  

 

 

$

 

0

  

Municipal Income Fund

 

 

  

9/30/17

  

 

 

$

 

361,100

  

 

 

$

 

0

  

 

 

$

 

57,936

  

 

 

$

 

419,036

  

 

 

$

 

0

  

 

 

 

  

9/30/18

  

 

 

$

 

361,100

  

 

 

$

 

0

  

 

 

$

 

35,868

  

 

 

$

 

396,968

  

 

 

$

 

0

  

Research Fund

 

 

  

11/30/17

  

 

 

$

 

123,800

  

 

 

$

 

0

  

 

 

$

 

25,797

  

 

 

$

 

149,597

  

 

 

$

 

0

  

 

 

 

  

11/30/18

  

 

 

$

 

123,800

  

 

 

$

 

0

  

 

 

$

 

15,841

  

 

 

$

 

139,641

  

 

 

$

 

0

  

Securities Trust

 

 

  

10/31/17

  

 

 

$

 

410,600

  

 

 

$

 

0

  

 

 

$

 

95,909

  

 

 

$

 

506,509

  

 

 

$

 

0

  

 

 

 

  

10/31/18

  

 

 

$

 

435,600

  

 

 

$

 

0

  

 

 

$

 

66,049

  

 

 

$

 

501,649

  

 

 

$

 

0

  

Series Fund

 

 

  

12/31/17

  

 

 

$

 

464,200

  

 

 

$

 

0

  

 

 

$

 

123,348

  

 

 

$

 

587,548

  

 

 

$

 

0

  

 

 

 

  

12/31/18

  

 

 

$

 

464,200

  

 

 

$

 

0

  

 

 

$

 

70,814

  

 

 

$

 

535,014

  

 

 

$

 

0

  

U.S. Government Money Market

 

 

  

6/30/17

  

 

 

$

 

31,500

  

 

 

$

 

0

  

 

 

$

 

4,672

  

 

 

$

 

36,172

  

 

 

$

 

0

  

 

 

 

  

6/30/18

  

 

 

$

 

31,500

  

 

 

$

 

0

  

 

 

$

 

2,935

  

 

 

$

 

34,435

  

 

 

$

 

0

  

 
 

(1)

  

Consists of fees for audits of the Funds’ annual financial statements.

 

(2)

  

Consists of fees for assurance and related services reasonably related to the audits of each Fund’s financial statements, but which are not included in the amount for “Audit Fees.”

 

(3)

  

Consist of fees for tax compliance and tax reporting. Fees for the past two fiscal years consisted of fees for preparing the U.S. Income Tax Return for Regulated Investment Companies, New Jersey Corporation Business Tax Return, U.S. Return of Excise Tax on Undistributed Income of Investment Companies, IRS Forms 1099-MISC.

 

(4)

  

Consists of any fees for services provided for each Fund not included in the previous columns.

M-1

 

The Audit Committee has approved 100% of the services listed in the table above. The aggregate non-audit fees billed by D&T for services rendered to the Funds are shown above in the column titled “All Other Fees.” The aggregate non-audit fees billed by D&T for services rendered to Lord Abbett for the past two fiscal years were:

 

 

 

Fiscal Year End:

  

Non-Audit Fees(1)

June 30, 2017

 

 

$

 

5,738

  

July 31, 2017

 

 

$

 

17,213

  

September 30, 2017

 

 

$

 

51,639

  

October 31, 2017

 

 

$

 

63,115

  

November 30, 2017

 

 

$

 

109,016

  

December 31, 2017

 

 

$

 

103,279

  

June 30, 2018

 

 

$

 

5,820

  

July 31, 2018

 

 

$

 

17,459

  

September 30, 2018

 

 

$

 

52,377

  

October 31, 2018

 

 

$

 

69,836

  

November 30, 2018

 

 

$

 

104,754

  

December 31, 2018

 

 

$

 

104,754

  

 
 

(1)

  

Consists of fees for Independent Service Auditor’s Report on Controls Placed in Operation and Test of Operating Effectiveness related to Lord Abbett’s Asset Management Services and Global Investment Performance Standards (GIPS®) Verification.

Other than the fees discussed above as well as the fees related to audit, audit-related, and tax service, D&T did not bill any fees for services rendered to entities controlling, controlled by, or under common control with Lord Abbett for the past two fiscal years.

The Funds’ Audit Committees have adopted policies and procedures that generally provide that the Funds’ Audit Committees must pre-approve any audit, audit-related, tax, and other services to be provided by the independent registered public accounting firm to each Fund or to each Fund’s investment adviser and any entity controlling, controlled by, or under common control with the investment adviser that provides ongoing services to each Fund if the engagement relates directly to operations and financial reporting of each Fund, to assure that the provision of such services does not impair the independent registered public accounting firm’s independence. Each Fund’s Audit Committee has approved all (100%) of the services listed in the table above. Each Audit Committee has delegated pre-approval authority to its Chair, subject to a fee limit of $10,000 per event, and not to exceed $25,000 annually. The Chair will report any pre-approval to the Audit Committees at their next scheduled meetings. Unless a type of service to be provided by the independent registered public accounting firm has received general pre-approval, it must be pre-approved by the Audit Committees. Any proposed services exceeding pre-approved cost levels require specific pre-approval by the Audit Committees. The Funds’ Audit Committees have considered the provision of non-audit services rendered to each Fund’s investment adviser and any entity controlling, controlled by, or under common control with the investment adviser

M-2

 

that provides ongoing services to each Fund and have determined that the provision of such services is compatible with maintaining the independent registered public accounting firm’s independence.

AMENDED AND RESTATED
AUDIT COMMITTEE CHARTER

The Audit Committee of the Board of Directors/Trustees of each Fund comprising the Lord Abbett Family of Funds1 shall be composed of not less than two members of the Board who are not “interested persons” of the Fund, as defined in Section 2(a)(19) of the Investment Company Act of 1940, as amended, each of whom is able to read and understand financial statements. No member of the Audit Committee may accept any consulting, advisory, or other compensatory fee from the Fund other than in his or her capacity as a member of the Audit Committee or another committee of the Board, or a member of the Board, or be an affiliated person of the Fund other than in his or her capacity as a member of the Board. The Board annually shall designate the members, including the Chair, of the Audit Committee.

The Audit Committee shall provide assistance to the Board in fulfilling its responsibilities to the shareholders, potential shareholders, and the investment community relating to accounting matters and reporting practices of the Fund and to the quality and integrity of the financial statements of the Fund. In so doing, it is the responsibility of the Audit Committee to maintain free and open means of communication between the Audit Committee, the independent accountants, and the financial and executive management of the Fund, including those officers of the Fund who are members or employees of Lord, Abbett & Co. LLC (“Management”).

In carrying out these responsibilities, the Audit Committee shall meet four times a year, with additional meetings being held as deemed appropriate by the Audit Committee Chair, and perform the following functions:
 

1.

  

Be directly responsible for the appointment, compensation, and oversight of the work of any registered public accounting firm employed by the Fund (the “independent accountants”) (including resolution of disagreements between Management and the independent accountants regarding financial reporting) for the purpose of preparing or issuing audit report or related work. The public accounting firm shall report directly to the Audit Committee.

 

2.

  

Evaluate the independence of the public accounting firm employed by the Fund, including evaluating whether the firm provides audit services or non-audit services to Lord, Abbett & Co. LLC or non-audit services to the

 

1

  

 

  

The Boards of Directors/Trustees and their Audit Committees collectively are referred to herein as the “Board” and the “Audit Committee,” respectively, and the Lord Abbett Family of Funds are referred to as the “Funds” or “Fund,” as the context requires.

M-3

 
 

 

  

Fund or other Lord Abbett Funds, and to receive the independent accountants’ specific representations as to its independence.

 

3.

  

Meet with the independent accountants and Management to review the scope of the proposed audit work, including limited reviews and such other procedures as may be considered necessary and/or appropriate for the current year, and the procedures to be used. At the completion of the annual examination, meet and review with the independent accountants and Management, as necessary:

 

a.

  

The independent accountants’ report on the Fund’s financial statements

 

b.

  

Any significant changes required in the public accounting firm’s audit plan;

 

c.

  

Any serious difficulties or disputes with Management encountered during the course of the audit; and

 

d.

  

Any other matters related to conduct of the audit that are to be communicated to the Audit Committee under generally accepted auditing standards, including applicable standards adopted by the Public Company Accounting Oversight Board, and as required under Section 204 of the Sarbanes-Oxley Act of 2002, as amended, and the rules adopted by the U.S. Securities and Exchange Commission thereunder.

 

4.

  

Review with the independent accountants and with Management the adequacy and effectiveness of the accounting and financial controls of the Fund, and elicit any recommendations that they may have for the improvement of such internal control procedures or particular areas where new or more detailed procedures are desirable. Review responses by Management to recommendations for improvement made by the independent accountants.

 

5.

  

Periodically, review with the independent accountants the form of the Fund’s financial statements, including the Fund’s significant accounting policies disclosed in the notes thereto and any significant changes to those policies, to determine that the independent accountants are satisfied with the disclosure and content of the financial statements presented to the shareholders.

 

6.

  

At least annually, provide sufficient opportunity for the independent accountants to meet with the members of the Audit Committee without members of management present. Among the items to be discussed in these meetings is the independent accountants’ evaluation of Management’s financial and accounting personnel and the cooperation that the independent accountants received during the course of its audit.

M-4

 
 

7.

  

At least annually, meet, without representatives of the independent accountants present, to evaluate the performance of the independent accountants.

 

8.

  

Receive, retain, and consider complaints received by the Fund regarding accounting, internal accounting controls, or auditing matters and submissions by employees of the Fund or of Lord, Abbett & Co. LLC of concerns regarding questionable accounting or auditing matters. In considering such complaints or submissions, the Audit Committee shall consult with counsel and with such other experts as it deems necessary and shall treat such complaints or submissions confidentially, to the extent consistent with the best interests of the related Fund and it shareholders.

 

9.

  

Investigate improprieties or suspected improprieties in Fund operations.

 

10.

  

Recommend to the Board the adoption of, and any amendments to, a Code of Ethics for senior financial officers of the Fund as required by Section 406 of the Sarbanes-Oxley Act of 2002.

 

11.

  

Review the reports of the Pricing Committee describing all pricing and liquidity determinations in accordance with the Fund’s Pricing/Valuation and Liquidity Procedures.

 

12.

  

Review reports regarding “as of” transactions in shares of the Fund’s capital stock. Review violations of the Funds’ Code of Ethics and determine whether to recommend to Management any change in the action Management implemented.

 

13.

  

With the General Counsel of Lord, Abbett & Co. LLC, consider requests for exemption from the Fund’s Code of Ethics.

 

14.

  

To act as the Fund’s Qualified Legal Compliance Committee under 17 CFR Part 205.

 

15.

  

Summarize proceedings of all meetings of the Audit Committee at meetings of the Board of the Fund.

 

16.

  

Cause an investigation to be made into any matter that comes to the attention of the Audit Committee within the scope of its duties.

 

17.

  

Consider such other matters as may be from time to time referred to it by the Board of the Fund.

The responsibilities and powers of the Audit Committee shall be construed and limited by the recognition of the following general principles:
 

•

  

Management has the primary responsibility to establish and maintain systems for accounting, reporting, and internal control; and

M-5

 
 

•

  

The independent accountants have the primary responsibility to plan and implement a proper audit, including consideration of the Funds’ accounting, reporting, and internal control practices.

Therefore, the authority and responsibilities set forth in this Charter recognize that members of the Audit Committee are not acting as accountants or auditors and this Charter does not reflect or create any duty or obligation of the Audit Committee to plan or conduct any audit, to determine or certify that any Fund’s financial statements are complete, accurate, fairly presented, or in accordance with generally accepted accounting principles or applicable law, or to guarantee any independent accountants’ report.

In carrying out its responsibilities, the Audit Committee believes its policies and procedures should remain flexible so that it can best react to changing conditions and environments and to assist the Board with its oversight responsibilities of the Fund’s accounting and reporting practices. The Audit Committee shall have the authority to engage independent counsel and other advisers, as it deems necessary to carry out its duties, and to provide for appropriate funding for payment of compensation to the registered public accounting firm employed by the Fund for the purpose of rendering or issuing audit reports and to any advisers employed by the Audit Committee.

Approved: November 2, 2016

M-6

 

Appendix N: Nominating and Governance Committee Charter

NOMINATING AND GOVERNANCE COMMITTEE CHARTER
of each
Lord Abbett Fund

The Nominating and Governance Committee shall be composed of all of the Directors or Trustees (“Directors”) who are not “interested persons” of the Fund. The Committee shall provide assistance to the Board of Directors in fulfilling its responsibilities to the shareholders of the Fund.

Board Nominations and Functions
 

1.

  

In keeping with the requirements of Rules 10f-3, 12b-1, 15a-4, 17a-7, 17a-8, 17d-1, 17e-1, 17g-1, and 18f-3 under the Investment Company Act of 1940, the Committee shall make nominations for independent director membership on the Board of Directors. The Committee shall evaluate candidates’ qualifications for Board membership and their independence from the Funds’ manager and other principal service providers. Persons selected must be independent in terms of both the letter and the spirit of the Investment Company Act. The Committee shall also consider the effect of any relationships beyond those delineated in that Act that might impair independence, such as business, financial, or family relationships with managers or service providers.

 

2.

  

The Committee shall periodically review Board governance procedures and shall recommend any appropriate changes to the Board of Directors.

 

3.

  

The Committee shall periodically review the composition of the Board of Directors to determine whether it may be appropriate to add individuals with different backgrounds or skill sets from those already on the Board.

 

4.

  

The Committee shall periodically review director compensation and shall recommend any appropriate changes to the level or form of such compensation to the independent directors as a group.

Committee Nominations and Functions
 

5.

  

The Committee shall make nominations for membership on all committees and shall review committee assignments at least annually.

 

6.

  

The Committee shall review as necessary the responsibilities of any committees of the Board, whether there is a continuing need for each committee, whether there is a need for additional committees of the Board, and whether committees should be combined or reorganized. The Committee shall make recommendations for any such action to the full Board.

Other Powers and Responsibilities
 

7.

  

The Committee shall monitor the performance of independent legal counsel employed by the independent directors as defined in Rule 0-1 under the

N-1

 
 

 

  

Investment Company Act, and shall be responsible for the supervision of counsel.

 

8.

  

The Committee shall receive reports of Covered Persons and of Lord Abbett’s General Counsel under the Fund’s Sarbanes-Oxley Code of Ethics, consider what action to take in the event of a violation of such Code, and consider requests for waivers under such Code.

 

9.

  

The Committee shall have the resources and authority appropriate to discharge its responsibilities, including authority to retain special counsel and other experts or consultants at the expense of the Fund.

 

10.

  

The Committee shall consider such other matters as may be from time to time referred to it by the Board of Directors.

As revised October 23, 2003.

N-2

 

YOUR VOTE MATTERS

 

  EASY VOTING OPTIONS:
   
 

VOTE ON THE INTERNET

Log on to:

www.proxy-direct.com

or scan the QR code

Follow the on-screen instructions

available 24 hours

     
 

VOTE BY PHONE

Call 1-800-337-3503

Follow the recorded instructions

available 24 hours

     
 

VOTE BY MAIL

Vote, sign and date this Proxy Card

and return in the postage-paid

envelope

     
 

VOTE IN PERSON

Attend Shareholder Meeting

90 Hudson Street

Jersey City, NJ 07302

On August 26, 2019

 

 

 

 

  Please detach at perforation before mailing.  
     
PROXY

LORD ABBETT FAMILY OF FUNDS

JOINT SPECIAL MEETING OF SHAREHOLDERS

TO BE HELD ON AUGUST 26, 2019

  

 

 

This proxy is solicited on behalf of the Board of Directors/Trustees of Lord Abbett Family of Funds.

The undersigned hereby appoints Douglas B. Sieg, Lawrence B. Stoller and John T. Fitzgerald, and any of them, as proxies for the undersigned, with full power of substitution, and hereby authorizes said proxies, and any of them, to represent and vote, as designated on the reverse side, all shares of common stock of the Funds, held of record by the undersigned on June 24, 2019 at the Joint Special Meeting of Shareholders (the “Meeting”) to be held at the offices of Lord, Abbett & Co. LLC at 90 Hudson Street, Jersey City, NJ 07302, on August 26, 2019 at 9:00 a.m., Eastern time, and at any adjournments or postponements thereof. The undersigned hereby revokes any and all proxies with respect to the shares being voted at the Meeting heretofore given by the undersigned. Please sign and date the reverse side. You may also vote in person by attending the joint special meeting of shareholders at 90 Hudson Street, Jersey City, NJ 07302 on August 26, 2019 at 9:00 a.m.

 

This proxy card, when properly executed, will be voted in the manner directed herein by the undersigned shareholder, and, in the discretion of such proxies, upon any and all other matters as may properly come before the meeting or any continuations, adjournments, postponements or reschedulings thereof. If no direction is made, this proxy will be voted “FOR” the Proposal.

 

  VOTE VIA THE INTERNET: www.proxy-direct.com
VOTE VIA THE TELEPHONE:  1-800-337-3503
       

 

 

 

 

 

 

PLEASE COMPLETE, SIGN, DATE, AND RETURN THIS PROXY PROMPTLY USING THE ENCLOSED ENVELOPE.

LAB_30261_053119

 

YOUR VOTE MATTERS

 

 

 

 

Important Notice Regarding the Availability of Proxy Materials for the

Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds to Be Held on August 26, 2019.

The Joint Proxy Statement for this meeting is available at:

https://www.proxy-direct.com/lab-30261

 

 

 

 

 

IF YOU VOTE ON THE INTERNET, BY TELEPHONE, OR IN PERSON

YOU NEED NOT RETURN THIS PROXY CARD

 

FUNDS FUNDS FUNDS
Fund Name1 Fund Name2 Fund Name3
Fund Name4 Fund Name5 Fund Name6
Fund Name7 Fund Name8 Fund Name9
Fund Name10 Fund Name11 Fund Name12
Fund Name13 Fund Name14 Fund Name15
Fund Name16 Fund Name17 Fund Name18
Fund Name19 Fund Name20 Fund Name21
Fund Name22 Fund Name23 Fund Name24
Fund Name25 Fund Name26 Fund Name27
Fund Name28 Fund Name29 Fund Name30

 

 

 

 

 

Please detach at perforation before mailing.

 

 

 

TO VOTE MARK BLOCKS BELOW IN BLUE OR BLACK INK AS SHOWN IN THIS EXAMPLE:  

 

  Proposal   THIS PROXY IS SOLICITED ON BEHALF OF THE DIRECTORS/TRUSTEES.  THE BOARD OF DIRECTORS/TRUSTEES OF THE LORD ABBETT FAMILY OF FUNDS RECOMMENDS A VOTE “FOR” THE PROPOSAL  

 

1. Election of your Fund’s Board of Directors/Trustees         FOR
ALL		   WITHHOLD
ALL		    FOR ALL
EXCEPT
  01. Eric C. Fast 02. Evelyn E. Guernsey 03. Julia A. Hill 04. Kathleen M. Lutilo     o   o   o
  05. James M. McTaggart 06. Charles O. Prince 07. Karla M. Rabusch 08. Mark A. Schmid              
  09. Douglas B. Sieg 10. James L.L. Tullis                      
                               
  To withhold authority to vote for any individual nominee(s), mark the box “FOR ALL EXCEPT” and write the number(s) of the nominee(s) on the line provided._________________________________________________________________________              
                 

THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AT THE MEETING AND WILL BE VOTED IN ACCORDANCE WITH ANY SPECIFICATION MADE; IF NO SPECIFICATION IS MADE, SUCH SHARES WILL BE VOTED FOR THE PROPOSAL ABOVE AND FOR ANYOTHER MATTERS AS DEEMED APPROPRIATE.

 

IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO THE MEETING OR ANY ADJOURNMENTS, POSTPONEMENTS, CONTINUATIONS, OR RESCHEDULINGS THEREOF.

 

              

 

Authorized Signatures ─ This section must be completed for your vote to be counted.─ Sign and Date Below  

 

Note:   Please sign exactly as your name(s) appear(s) on this proxy card, and date it.  When shares are held jointly, each holder should sign.  When signing as attorney, executor, administrator, trustee, officer of corporation or other entity or in another representative capacity, please give the full title under the signature.

 

Date (mm/dd/yyyy) ─ Please print date below   Signature 1 ─ Please keep signature within the box   Signature 2 ─ Please keep signature within the box
                       /                 /         
         
    Scanner bar code    

 

xxxxxxxxxxxxxx LAB1 30261 M xxxxxxxx
 

YOUR VOTE MATTERS

 

  EASY VOTING OPTIONS:
   
 

VOTE ON THE INTERNET

Log on to:

www.proxy-direct.com

or scan the QR code

Follow the on-screen instructions

available 24 hours

     
 

VOTE BY PHONE

Call 1-866-298-8476

Follow the recorded instructions

available 24 hours

     
 

VOTE BY MAIL

Vote, sign and date this Voting
Instruction Card and return in the
postage-paid envelope

     
 

VOTE IN PERSON

Attend Shareholder Meeting

90 Hudson Street

Jersey City, NJ 07302

On August 26, 2019

 

 

 

 

  Please detach at perforation before mailing.  
     
PROXY

LORD ABBETT FAMILY OF FUNDS

JOINT SPECIAL MEETING OF SHAREHOLDERS

TO BE HELD ON AUGUST 26, 2019

  

 

 

INSURANCE COMPANY DROP-IN

The above-referenced insurance company (the “Company”) is using this Voting Instruction Card to solicit voting instructions from its contract owners who hold unit values in a separate account of the Company that invests in the above-named fund.

 

The undersigned contract owner instructs the Company to vote, at the Joint Special Meeting of Shareholders and at any adjournments or postponements thereof (the “Meeting”), all shares of the Fund attributable to his or her contract or interest in the relevant separate account as directed. The undersigned acknowledges receipt of the Proxy Statement.

 

If you sign on the reverse side but do not mark instructions, the Company will vote all shares of the Fund attributable to your account value FOR the proposal. If you fail to return this Voting Instruction Card, the Company may vote all shares attributable to your account value in proportion to the timely voting instructions actually received from contract owners in the separate account.

 

  VOTE VIA THE INTERNET: www.proxy-direct.com
VOTE VIA THE TELEPHONE:  1-866-298-8476
       

 

 

 

 

 

 

PLEASE COMPLETE, SIGN, DATE, AND RETURN THIS VOTING INSTRUCTION CARD PROMPTLY USING THE ENCLOSED ENVELOPE.

LAB_30261_053119_VI

 

YOUR VOTE MATTERS

 

 

 

 

Important Notice Regarding the Availability of Proxy Materials for the

Joint Special Meeting of Shareholders of the Lord Abbett Family of Funds to Be Held on August 26, 2019.

The Joint Proxy Statement for this meeting is available at:

https://www.proxy-direct.com/lab-30261

 

 

 

 

 

IF YOU VOTE ON THE INTERNET, BY TELEPHONE, OR IN PERSON

YOU NEED NOT RETURN THIS VOTING INSTRUCTION CARD

 

 

 

 

FUNDS FUNDS FUNDS
Fund Name1 Fund Name2 Fund Name3
Fund Name4 Fund Name5 Fund Name6
Fund Name7 Fund Name8 Fund Name9
Fund Name10 Fund Name11 Fund Name12
Fund Name13 Fund Name14 Fund Name15
Fund Name16 Fund Name17 Fund Name18
Fund Name19 Fund Name20 Fund Name21
Fund Name22 Fund Name23 Fund Name24
Fund Name25 Fund Name26 Fund Name27
Fund Name28 Fund Name29 Fund Name30

 

 

 

 

Please detach at perforation before mailing.

 

 

 

TO VOTE MARK BLOCKS BELOW IN BLUE OR BLACK INK AS SHOWN IN THIS EXAMPLE:  

 

  Proposal   THIS PROXY IS SOLICITED ON BEHALF OF THE DIRECTORS/TRUSTEES. THE BOARD OF DIRECTORS/TRUSTEES OF THE LORD ABBETT FAMILY OF FUNDS RECOMMENDS A VOTE “FOR” THE PROPOSAL  

 

1. Election of your Fund’s Board of Directors/Trustees         FOR
ALL		   WITHHOLD
ALL		    FOR ALL
EXCEPT
  01. Eric C. Fast 02. Evelyn E. Guernsey 03. Julia A. Hill 04. Kathleen M. Lutilo     o   o   o
  05. James M. McTaggart 06. Charles O. Prince 07. Karla M. Rabusch 08. Mark A. Schmid              
  09. Douglas B. Sieg 10. James L.L. Tullis                      
                               
  To withhold authority to vote for any individual nominee(s), mark the box “FOR ALL EXCEPT” and write the number(s) of the nominee(s) on the line provided._________________________________________________________________________              
                 

THE SHARES REPRESENTED BY THIS PROXY WILL BE VOTED AT THE MEETING AND WILL BE VOTED IN ACCORDANCE WITH ANY SPECIFICATION MADE; IF NO SPECIFICATION IS MADE, SUCH SHARES WILL BE VOTED FOR THE PROPOSAL ABOVE AND FOR ANYOTHER MATTERS AS DEEMED APPROPRIATE.

 

IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER BUSINESS AS MAY PROPERLY BE PRESENTED TO THE MEETING OR ANY ADJOURNMENTS, POSTPONEMENTS, CONTINUATIONS, OR RESCHEDULINGS THEREOF.

              

 

Authorized Signatures ─ This section must be completed for your vote to be counted.─ Sign and Date Below  

 

Note:   Please sign exactly as your name(s) appear(s) on this Voting Instruction card, and date it. When shares are held jointly, each holder should sign. When signing as attorney, executor, administrator, trustee, officer of corporation or other entity or in another representative capacity, please give the full title under the signature.

 

Date (mm/dd/yyyy) ─ Please print date below   Signature 1 ─ Please keep signature within the box   Signature 2 ─ Please keep signature within the box
                       /                 /         
         
    Scanner bar code    

 

xxxxxxxxxxxxxx LAB1 30261 M xxxxxxxx
 
 GRAPHIC 2 lordabbettxvert.jpg GRAPHIC begin 644 lordabbettxvert.jpg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end GRAPHIC 3 dougsiegxsig.jpg GRAPHIC begin 644 dougsiegxsig.jpg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end GRAPHIC 4 lxstollerxsig.jpg GRAPHIC begin 644 lxstollerxsig.jpg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end GRAPHIC 5 x3_c93731a001.jpg GRAPHIC begin 644 x3_c93731a001.jpg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end GRAPHIC 6 x3_c93731a002.jpg GRAPHIC begin 644 x3_c93731a002.jpg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end GRAPHIC 7 x3_c93731a003.jpg GRAPHIC begin 644 x3_c93731a003.jpg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end GRAPHIC 8 x3_c93731a004.jpg GRAPHIC begin 644 x3_c93731a004.jpg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end GRAPHIC 9 x3_c93731a007.jpg GRAPHIC begin 644 x3_c93731a007.jpg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end GRAPHIC 10 x3_c93731a008.jpg GRAPHIC begin 644 x3_c93731a008.jpg M_]C_X 02D9)1@ ! 0 0 ! #_VP!# $! 0$! 0$! 0$! 0$! 0$! 0$! M 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0'_ MVP!# 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0$! M 0$! 0$! 0$! 0$! 0$! 0$! 0$! 0'_P 1" 9 !D# 2( A$! Q$!_\0 M'P 04! 0$! 0$ $" P0%!@<("0H+_\0 M1 @$# P($ P4% M! 0 %] 0(# 01!1(A,4$&$U%A!R)Q%#*!D:$((T*QP152T? D,V)R@@D* M%A<8&1HE)B7J#A(6&AXB)BI*3E)66EYB9FJ*CI*6FIZBIJK*SM+6VM[BYNL+#Q,7& MQ\C)RM+3U-76U]C9VN'BX^3EYN?HZ>KQ\O/T]?;W^/GZ_\0 'P$ P$! 0$! M 0$! 0 $" P0%!@<("0H+_\0 M1$ @$"! 0#! <%! 0 0)W $" M Q$$!2$Q!A)!40=A<1,B,H$(%$*1H;'!"2,S4O 58G+1"A8D-.$E\1<8&1HF M)R@I*C4V-S@Y.D-$149'2$E*4U155E=865IC9&5F9VAI:G-T=79W>'EZ@H.$ MA8:'B(F*DI.4E9:7F)F:HJ.DI::GJ*FJLK.TM;:WN+FZPL/$Q<;'R,G*TM/4 MU=;7V-G:XN/DY>;GZ.GJ\O/T]?;W^/GZ_]H # ,! (1 Q$ /P#^8+]O[]OW M]O#PM^WA^VQX9\-?ML?M<>'O#GAW]KC]I'0] T#0_P!I'XR:3HNB:+I/QD\9 MV&EZ1I&EV/C."RTW2]-LH(+.PL+."&UL[6&*WMXHXHT08MS\3_\ @M-:?LGV M'[6Y\27'AV+PL=4CCT4:U_;%S:V,WS-_P48BEF_X*(?MVPPQO--+^VA^T]'%% M&C22222?''QPB1QQJ"SN[D*B*"S,0H!) K^_;6/^">_QU;_@G]XF_P""-ES; M_"YOA!X3_P""2>E^*?#GANW^+WPRU'XKI_P58T;XD:E^UAKVC1_#:WU75?BS M;^$O$VJ^)#&=;AMW\-VOAVSNKK3]-N+36M-%LVK4YSZQM9-V32C.I-MO16IT MY**;C>I."OJHR2=ZD(/12W:U:O*%.-HKWG[]2,I-)I0C-NVC/X!3_P %&O\ M@H400?V[_P!LP@Y!!_:@^-Q!!['_ (KCG/<5_K??\)IXW_Z'3Q=_X5&N_P#R M=7^+Q)')#(\4J/%+$[1R1R*R21R(Q5T=& 9'1@596 96!! (K_9EI#/\JS]M M>^^(OP^_X*?_ +7'Q.\%Z%>-XA\#_MZ_'SQUX4O=2\&VOBO0SK?AG]H3Q9X@ MT.YU#0/$&D:OX;\1Z6+ZRM9;O1MT\RRU.QO;"XGMY,:U_;G_ &]+ M/]MMO^"BT/CWQ%I_!$Y7P7<^#Y?A\FE+ MX/N)/#5MH*^%5T2ST<16EI80+!"8_P#;\HIIM^,?%OCSQ#X5NH==\:>)=>\7:XF@>!;7PEH M$6K>(]5N]8U)-%\+>&=&TCPUX9T=;V\G73= \/:5IFAZ-9B'3M)T^RL+:WMH BO]AWS5]&_P"^37[*45*2226B2LEV2&VVVV[MZMO=ONS_V0$! end GRAPHIC 11 x3_c93731a009.jpg GRAPHIC begin 644 x3_c93731a009.jpg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end GRAPHIC 12 x3_c93731a005.jpg GRAPHIC begin 644 x3_c93731a005.jpg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end GRAPHIC 13 x3_c93731a006.jpg GRAPHIC begin 644 x3_c93731a006.jpg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end GRAPHIC 14 x3_c93731a010.jpg GRAPHIC begin 644 x3_c93731a010.jpg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end